Nicole Sullivan has been Chief Compliance Officer, Co-Founder of Prism Planning Partners since October 2017, is a control person of the firm and directly owns between 25% and 50% of it. Nicole Sullivan studied at the University of Illinois at Urbana-Champaign.
Prism Planning Partners, LLC is a Libertyville, IL firm with $242M under management, 151 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Nicole Sullivan is Co-Founder, Chief Compliance Officer & Director of Financial Planning of Prism Planning Partners. She co-founded Prism alongside Ron Bernstein and has spent over a decade practicing holistic financial planning. Sullivan has been in the financial services industry since 2012.
Nicole Sullivan’s longest registration is the current one, 8 years at Prism Planning Partners since 2018. Before joining Prism Planning Partners in 2018, Nicole Sullivan was registered through Alera Investment Advisors, LLC and Securian Financial Services, Inc.
- Prism Planning PartnersCurrent– present · 8 yearsLibertyville, IL · Adviser representative · Firm CRD 290485
- Alera Investment Advisors, LLC– · under a yearDeerfield, IL · Adviser representative · Firm CRD 287906
- Securian Financial Services, Inc.– · 5 yearsDeerfield, IL · Adviser representative · Firm CRD 15296
Professional designations
Listed by Prism Planning Partners
- CFP®
- RMA®
Investment adviser representative registrations
Nicole Sullivan is registered as an investment adviser representative in Illinois, since January 2018.
- IllinoisSince 2 January 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 25 July 2012 |
| Series 7 | General Securities Representative Examination | 11 July 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicole Marie Sullivan
- CRD
- 6047107
- Firm
- Prism Planning Partners · CRD 290485
- Role
- Chief Compliance Officer, Co-Founder
- Office
- 321 S. MILWAUKEE AVENUE, Libertyville, IL 60048
- Registration
- Investment adviser registration
- In the industry since
- July 2012
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- prismplanningpartners.com
Where does Nicole Sullivan work?
Nicole Sullivan has been Chief Compliance Officer, Co-Founder of Prism Planning Partners, LLC since October 2017, and is a control person of the firm.
Is Nicole Sullivan a financial advisor?
Yes. Nicole Sullivan has a current investment-adviser registration in Illinois, through Prism Planning Partners since January 2018.
How many years of experience does Nicole Sullivan have?
Nicole Sullivan has 14 years in the financial industry, since July 2012, across 3 adviser firms.
What exams has Nicole Sullivan passed?
Nicole Sullivan has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2012. FINRA credited Nicole Sullivan with the SIE, which began in October 2018.
Where did Nicole Sullivan work before Prism Planning Partners?
Before Prism Planning Partners, Nicole Sullivan was registered through Alera Investment Advisors, LLC, November 2017 to January 2018; Securian Financial Services, Inc., August 2012 to November 2017.
Where is Nicole Sullivan based?
Nicole Sullivan’s registered office is in Libertyville, IL.
Is Nicole Sullivan registered with FINRA?
No. Nicole Sullivan has no current broker registration.
Is Nicole Sullivan a CFP?
Prism Planning Partners lists Nicole Sullivan with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Nicole Sullivan biography, prismplanningpartners.com
How can I verify Nicole Sullivan’s record?
Search CRD 6047107 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicole Sullivan’s full registration record.
