John W. Sullivan

TOEWS ASSET MANAGEMENT

Northfield, NJ 08225-1844

Some features on this profile are disabled

CRD#: 1185203

Professional summary

John Waldron Sullivan, who also goes by John Waldon Sullivan, is a registered financial advisor currently at TOEWS ASSET MANAGEMENT located in Northfield, New Jersey and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 19 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Waldon Sullivan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. SULLIVAN IS THE OWNER OF A RENTAL PROPERTY LOCATED AT 509 MAIN STREET, BREWSTER, MA 02631. MR. SULLIVAN BEGAN THIS NON-INVESTMENT RELATED ACTIVITY JUNE, 1 2017 AND SPENDS 4 HOURS PER MONTH, NONE DURING TRADING HOURS COMMUNICATING WITH VENDORS/CONTRACTORS ON REPAIR ITEMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Waldron Sullivan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 22, 2023 - Present

TOEWS ASSET MANAGEMENT

Office #1: 1750 Zion Road Suite 201, Northfield, NJ 08225-1844

RIA

CRD#: 106304

Northfield, NJ

Current

November 17, 2023 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

December 22, 2022 - April 17, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Malden, MA

Past

December 9, 2022 - April 17, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Malden, MA

Past

February 6, 2018 - April 27, 2023

CANTELLA & CO., INC.

RIA

CRD#: 13905

Malden, MA

Past

February 2, 2018 - December 9, 2022

CANTELLA & CO., INC.

CRD#: 13905

Malden, MA

Past

September 5, 2017 - February 2, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

Past

October 18, 2016 - May 25, 2017

NESTEGGS, INC.

RIA

CRD#: 133507

Ipswich, MA

Past

June 3, 2015 - June 17, 2015

DETWILER FENTON & CO.

CRD#: 1794

Topsfield, MA

Past

July 11, 2012 - May 28, 2015

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

August 25, 2010 - July 1, 2015

DETWILER FENTON INVESTMENT MANAGEMENT LLC

RIA

CRD#: 153808

BOSTON, MA

Past

December 9, 2009 - December 31, 2011

DETWILER FENTON & CO.

CRD#: 1794

TOPSFIELD, MA

Past

July 15, 2009 - December 1, 2010

DETWILER FENTON & CO.

RIA

CRD#: 1794

TOPSFIELD, MA

Past

April 24, 2007 - November 5, 2007

FISHER INVESTMENTS

RIA

CRD#: 107342

IPSWICH, MA

Past

January 1, 2004 - November 8, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BOSTON, MA

Past

February 1, 2001 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

April 30, 2000 - November 3, 2006

TIAA-CREF TRUST COMPANY, FSB

RIA

CRD#: 108579

BOSTON, MA

Past

October 5, 1998 - April 2, 1999

AEW SECURITIES LIMITED PARTNERSHIP

CRD#: 30686

BOSTON, MA

Past

March 9, 1989 - November 28, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

June 9, 1988 - March 7, 1989

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

September 18, 1985 - February 18, 1987

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

Past

March 6, 1984 - September 24, 1985

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

November 8, 1983 - February 15, 1984

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOEWS ASSET MANAGEMENT

BEHAVIORAL INVESTING INSTITUTE | TOEWS CORPORATION | TOEWS ASSET MANAGEMENT | TOEWS | SYNTHESIS INVESTMENTS ASSET MANAGEMENT

CRD#: 106304 / SEC#: 801-47765

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/5/2024)

Nebraska
(2/5/2024)

IAR

New Jersey
(11/22/2023)

New Jersey
(2/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/3/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/23/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TOEWS ASSET MANAGEMENT

BEHAVIORAL INVESTING INSTITUTE | TOEWS CORPORATION | TOEWS ASSET MANAGEMENT | TOEWS | SYNTHESIS INVESTMENTS ASSET MANAGEMENT

CRD#: 106304 / SEC#: 801-47765

RIA

Registered Investment Advisory firm - (12/9/1994 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1750 Zion Road Suite 201, Northfield, NJ 08225-1844

Mailing Address

Phone number

(877) 863-9726

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 945,114,686

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Steven Boorstein

ROCKCREST FINANCIAL LLC

IAR

Somers Point, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John W. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Waldron Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CANTELLA & CO., INC.

CANTELLA & CO., INC.

EQUITABLE ADVISORS, LLC

NESTEGGS, INC.

DETWILER FENTON & CO.

DETWILER FENTON WEALTH MANAGEMENT INC

DETWILER FENTON INVESTMENT MANAGEMENT LLC

DETWILER FENTON & CO.

DETWILER FENTON & CO.

FISHER INVESTMENTS

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

TIAA-CREF TRUST COMPANY, FSB

AEW SECURITIES LIMITED PARTNERSHIP

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS CORPORATION

Primary Firm SEC Registration

TOEWS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/2024

Series 65

Date: 10/23/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/14/1993

Series 6

Date: 11/7/1983

FINRA

Current Firm

TOEWS ASSET MANAGEMENT

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOEWS ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors