Katherine Irene Sullivan
Investment adviser representative at LPL Financial LLC
11 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
11 years in the industry.
- LPL Financial LLCSep 2026 to now
- Zions BankAug 2026 to now
- Edward JonesAug 2025 to Aug 2026
- LPL Financial LLCJan 2025 to Aug 2025
- Wintrust InvestmentsJun 2022 to Jan 2025
- Community Banks of Colorado Company/national Bank HoldingsMay 2018 to May 2022
- UnemployedMar 2018 to May 2018
- Bloomingdale Bank and Trust/wintrustApr 2017 to Mar 2018
- BMO Harris BankJul 2015 to Feb 2017
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (CO).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7567701
- Firm CRD
- 6413