Kevin Sullivan has been an investment adviser representative at Warner Group since November 2025, and is not listed among the firm’s executive officers or direct owners.
Warner Group LLC is a Madison, CT firm with $458M under management, 758 clients and 7 advisers across 3 offices, as of its September 2026 filing.
Kevin Sullivan is a Financial Advisor at Warner Wealth. He has been a wealth advisor since July 1989, with earlier roles at The Prudential, KeyCorp's McDonald Investments and Bank of America Securities, and opened his own practice in 2007. He specializes in the medical community, working with doctors, business owners and retirees, and is the author of Managing Income in Retirement.
Kevin Sullivan’s longest registration is the current one, 7 years at LPL Financial LLC since 2019. Before joining Warner Group in 2025, Kevin Sullivan was registered through Ameriprise Financial Services, Inc. and Raymond James Financial Services Advisors, Inc.
- Warner WealthCurrent– present · under a yearLockport, NY · Adviser representative · Firm CRD 334877
- LPL Financial LLCAlso current– present · 7 yearsWinslow, ME · Adviser representative and broker · Firm CRD 6413
- Ameriprise Financial Services, Inc.– · 4 yearsWinslow, ME · Adviser representative · Firm CRD 6363
- Raymond James Financial Services Advisors, Inc– · 5 yearsWinslow, ME · Adviser representative · Firm CRD 149018
- Wachovia Securities Financial Network, LLC– · 2 yearsWinslow, ME · Adviser representative · Firm CRD 11025
- Banc of America Investment Services, Inc.– · 2 yearsGardiner, ME · Adviser representative · Firm CRD 16361
- Quick & Reilly, Inc.– · under a yearWaterville, ME · Adviser representative · Firm CRD 11217
- McDonald Investments Inc.– · 4 yearsWaterville, ME · Adviser representative · Firm CRD 566
Professional designations
Listed by Warner Group
- Accredited Investment Fiduciary® (AIF®)
Investment adviser representative registrations
Kevin Sullivan is registered as an investment adviser representative in 5 states. The first approvals date from May 2019; the most recent is Connecticut, in November 2025.
- ConnecticutSince 17 November 2025
- GeorgiaSince 17 November 2020
- MaineSince 1 May 2019
- New YorkSince 3 August 2021
- TexasSince 1 May 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 21 February 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 January 1997 |
| Series 7 | General Securities Representative Examination | 23 October 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 7 May 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 July 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Kevin Ronald Sullivan
- CRD
- 1966124
- Firm
- Warner Group · CRD 334877
- Office
- Lockport, NY
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- warnerwm.com
Where does Kevin Sullivan work?
Kevin Sullivan is an investment adviser representative registered through Warner Group LLC since November 2025, and is not listed among the firm’s executive officers or direct owners.
Is Kevin Sullivan a financial advisor?
Yes. Kevin Sullivan has a current investment-adviser registration in Connecticut, Georgia, Maine, New York and Texas, through Warner Group since November 2025.
How many years of experience does Kevin Sullivan have?
Kevin Sullivan has 37 years in the financial industry, since August 1989, across 8 adviser firms.
What exams has Kevin Sullivan passed?
Kevin Sullivan has passed 5 licensing exams: the Series 6, Series 65, Series 7, Series 63 and Series 24. The earliest, the Series 6, was passed in July 1989. FINRA credited Kevin Sullivan with the SIE, which began in October 2018.
Where did Kevin Sullivan work before Warner Group?
Before Warner Group, Kevin Sullivan was registered through Ameriprise Financial Services, Inc., June 2014 to May 2019; Raymond James Financial Services Advisors, Inc, April 2009 to June 2014; Wachovia Securities Financial Network, LLC, March 2007 to March 2009; Banc of America Investment Services, Inc., October 2004 to March 2007; Quick & Reilly, Inc., March 2004 to October 2004; McDonald Investments Inc., May 1999 to March 2004.
Where is Kevin Sullivan based?
Kevin Sullivan’s registered office is in Lockport, NY.
Is Kevin Sullivan registered with FINRA?
Yes. Kevin Sullivan has a current broker registration, under CRD 1966124.
Source: FINRA BrokerCheck
How can I verify Kevin Sullivan’s record?
Search CRD 1966124 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kevin Sullivan’s full registration record.
- Lisa LaFondChief Compliance Officer
James WarnerOwner