RIA Registration, Legal Counsel
Sean Sullivan is the in-house legal counsel and a compliance officer at Private Advisor Group. In this role, he aids advisors in navigating the complexity of today’s new regulations and legislation. He brings over 30 years of diverse experience in practicing law.
Sean earned a Bachelor of Arts in Government from Cornell University and a Juris Doctor from New York Law School. He holds FINRA series 7, 24, and 66 securities registrations.
He volunteers his time by building and maintaining hiking trails so more people can enjoy the outdoors. In addition, he has volunteered with the South Mountain Conservancy, the New York-New Jersey Trail Conference, and Mountain Meitheal (in Ireland).
Sean lives in New Jersey with his wife, and outside of work, he has hiked 600 miles of the Appalachian Trail and enjoys that his five children are now grown.