John T. Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Sullivan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2014 - August 8, 2022
CGS INTERNATIONAL SECURITIES USA, INC.
August 22, 2011 - September 9, 2014
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
June 16, 2009 - August 15, 2011
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
August 2, 2004 - December 5, 2008
MACQUARIE CAPITAL (USA) INC.
April 28, 2001 - August 2, 2004
ING FINANCIAL MARKETS LLC
June 29, 1999 - April 30, 2001
ABN AMRO SECURITIES LLC
January 5, 1999 - June 28, 1999
BNP PARIBAS INVESTMENT SERVICES, LLC
December 2, 1998 - January 7, 1999
BNP PARIBAS BROKERAGE SERVICES, INC.
June 16, 1998 - October 28, 1998
SANTANDER INVESTMENT SECURITIES INC.
April 4, 1991 - March 17, 1998
PEREGRINE BROKERAGE INC.
April 25, 1989 - March 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1987 - September 30, 1987
JEFFERIES LLC
January 18, 1986 - September 9, 1986
UBS FINANCIAL SERVICES INC.
December 11, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 27, 1981 - March 5, 1986
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/9/2012
Limited Representative-Equity Trader ExamCurrent Firm
CGS INTERNATIONAL SECURITIES USA, INC.
CRD#: 141892 / SEC#: , 8-67414
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGS INTERNATIONAL SECURITIES PTE. LTD. | STOCKHOLDER | |
| CHIN-LUK, HELEN JADE | SENIOR VP, FINOP, CCO, CEO | 2292149 |
Red Flags
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