John L. 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 Lawrence Sullivan JR, who also goes by John Lawrence Sullivan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2004 - March 9, 2020
LEERINK PARTNERS LLC
August 10, 2000 - April 22, 2004
STEPHENS
April 22, 1998 - April 27, 2000
TUCKER ANTHONY INCORPORATED
March 2, 1998 - April 23, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 6, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
March 26, 1993 - August 28, 1996
J.P. MORGAN SECURITIES LLC
December 11, 1991 - March 31, 1993
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 1988 - April 19, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1987 - March 3, 1988
GOLDMAN SACHS & CO. LLC
November 11, 1983 - November 23, 1987
GOLDMAN SACHS MONEY MARKETS INC.
October 19, 1983 - October 24, 1983
GOLDMAN SACHS & CO. LLC
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 5
Date: 4/26/1984
Interest Rate Options ExaminationCurrent Firm
LEERINK PARTNERS LLC
CRD#: 39011 / SEC#: 801-68264, 8-48535
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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