Mary Jane Sullivan has been Sole Owner/Chief Compliance Officer of Sullivan Financial since June 2019, is a control person of the firm and directly owns 75% or more of it. Mary Jane Sullivan holds a B.S. in Financial Services from Bryant University.
Sullivan Financial, LLC is an Essex, CT firm with $119M under management, 131 clients and 2 advisers in one office, as of its March 2026 filing.
Jane Sullivan is Principal & Financial Advisor of Sullivan Financial Advisors. She has been a licensed Financial Advisor since 2008 and has over 20 years of industry experience. She is an industry speaker at Women in Finance events.
- Sullivan Financial, LLCCurrent– present · 17 yearsEssex, CT · Adviser representative · Firm CRD 121371
Professional designations
Listed by Sullivan Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Mary Jane Sullivan is registered as an investment adviser representative in 6 states, as a resident of Texas. The first approvals date from January 2009; the most recent is Florida, in February 2023.
- ConnecticutSince 7 January 2009
- FloridaSince 2 February 2023
- MassachusettsSince 3 January 2023
- New HampshireSince 5 January 2023
- PennsylvaniaSince 18 January 2023
- TexasResidentSince 7 May 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 September 2008 |
- Name
- Uniform Investment Adviser Law Examination
- CRD
- 5632328
- Firm
- Sullivan Financial · CRD 121371
- Role
- Sole Owner/Chief Compliance Officer
- Office
- 15A MAIN STREET, Essex, CT 06426
- Registration
- Investment adviser registration
- In the industry since
- January 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sullfin.com
Where does Mary Jane Sullivan work?
Mary Jane Sullivan has been Sole Owner/Chief Compliance Officer of Sullivan Financial, LLC since June 2019, and is a control person of the firm.
Is Mary Jane Sullivan a financial advisor?
Yes. Mary Jane Sullivan has a current investment-adviser registration in Connecticut, Florida, Massachusetts, New Hampshire, Pennsylvania and Texas, through Sullivan Financial since January 2009.
How many years of experience does Mary Jane Sullivan have?
Mary Jane Sullivan has 17 years in the financial industry, since January 2009, across 1 adviser firm.
What exams has Mary Jane Sullivan passed?
Mary Jane Sullivan passed the Series 65 in September 2008.
Where is Mary Jane Sullivan based?
Mary Jane Sullivan’s registered office is in Essex, CT.
Is Mary Jane Sullivan registered with FINRA?
No. Mary Jane Sullivan has no current broker registration.
Is Mary Jane Sullivan a CFP?
Sullivan Financial lists Mary Jane Sullivan with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Mary Jane Sullivan’s record?
Search CRD 5632328 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mary Jane Sullivan’s full registration record.