JS
James R. Sullivan
CITIZENS JMP SECURITIES
New York, NY 10022
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CRD#: 1313170
JS
Professional summary
James Richard Sullivan JR, who also goes by James R Sullivan, Rich Sullivan, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James R Sullivan | Rich 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Richard Sullivan JR's 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®
NoneExperience
Current
August 1, 2023 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 437 Madison Avenue 18th Floor, New York, NY 10022BD
CRD#: 22208
New York, NY
Past
August 19, 2019 - August 1, 2023
CITIZENS CAPITAL MARKETS
BD
CRD#: 277073
NEW YORK, NY
Past
July 18, 2017 - April 25, 2019
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
October 1, 2008 - July 19, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 19, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
June 29, 1998 - March 28, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 22, 1991 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
April 26, 1991 - July 23, 1991
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
NEW YORK, NY
Past
March 29, 1990 - April 12, 1991
WHITEHILL CAPITAL, INC.
BD
CRD#: 16557
Past
August 20, 1988 - May 8, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
February 7, 1986 - September 24, 1987
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
April 27, 1985 - March 5, 1986
OFS, INC.
BD
CRD#: 14770
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/1/2023)
RR
Alaska(8/1/2023)
RR
Arizona(8/1/2023)
RR
Arkansas(8/1/2023)
RR
California(8/1/2023)
RR
Colorado(8/1/2023)
RR
Connecticut(8/1/2023)
RR
Delaware(8/1/2023)
RR
District of Columbia(8/1/2023)
RR
Florida(8/1/2023)
RR
Georgia(8/1/2023)
RR
Hawaii(8/1/2023)
RR
Idaho(8/1/2023)
RR
Illinois(8/1/2023)
RR
Indiana(8/1/2023)
RR
Iowa(8/1/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/1/2023)
RR
Louisiana(8/1/2023)
RR
Maine(8/1/2023)
RR
Maryland(8/1/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/1/2023)
RR
Minnesota(8/1/2023)
RR
Mississippi(8/1/2023)
RR
Missouri(8/1/2023)
RR
Montana(8/1/2023)
RR
Nebraska(8/1/2023)
RR
Nevada(8/1/2023)
RR
New Hampshire(8/1/2023)
RR
New Jersey(8/1/2023)
RR
New Mexico(8/1/2023)
RR
New York(8/1/2023)
RR
North Carolina(8/1/2023)
RR
North Dakota(8/1/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/1/2023)
RR
Oregon(8/1/2023)
RR
Pennsylvania(8/1/2023)
RR
Rhode Island(8/1/2023)
RR
South Carolina(8/1/2023)
RR
South Dakota(8/1/2023)
RR
Tennessee(8/1/2023)
RR
Texas(8/1/2023)
RR
Utah(8/1/2023)
RR
Vermont(8/1/2023)
RR
Virginia(8/1/2023)
RR
Washington(8/1/2023)
RR
West Virginia(8/1/2023)
RR
Wisconsin(8/1/2023)
RR
Wyoming(8/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
