Jerome Sullivan
Investment Adviser Representative at TD Private Client Wealth LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Jerome Sullivan is an investment adviser representative with TD Private Client Wealth LLC in Wareham, MA, where they have been registered since 2021. They have worked in the securities industry since 2007 and were previously registered with Financial Focus Asset Management,inc. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in 10 states.
Registrations & licenses
- Investment adviser:
- Connecticut, Georgia, Illinois, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont
- Broker:
10 states and territories
Connecticut, Georgia, Illinois, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Financial Focus Asset ManagementSep 2009 – Jul 2018Pembroke, MA
- Apple Corp.Sep 2012 – Jul 2018Hingham, MA
- TD Bank N.A.Jul 2018 – Jul 2020Foxboro, MA
- TD Bank N.A.Aug 2020 – Aug 2021Falmouth, MA
- TD Bank N.A.Aug 2021 – no end date reportedWareham, MA
- TD Private Client Wealth LLCAug 2021 – no end date reportedWareham, MA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About TD Private Client Wealth LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
TD Automated Investing (robo-advisor, digitally managed portfolios); TD Investment Services with a dedicated Financial Advisor and personalized TD Wealth Plan; Private Client Group offering a dedicated wealth management team, tailored wealth planning, investment advisory, planning specialist, and private client banking.
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 503
- Offices listed on AdvisorFinder:
- 28
- Main office:
- New York, NY
- SEC file number:
- 801-77771
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Jerome Sullivan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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