JS
John P. Sullivan
MOORS & CABOT
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1391123
JS
Professional summary
John P Sullivan, who also goes by John Patrick Sullivan, is a registered financial advisor currently at MOORS & CABOT, INC. located in Boston, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Patrick 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) - RIA
Click below to view John P Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John P Sullivan'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
April 11, 2017 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Current
March 31, 2017 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Past
June 16, 2014 - April 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
May 16, 2014 - April 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
February 13, 2012 - April 29, 2014
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
BOSTON, MA
Past
February 8, 2006 - February 16, 2012
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
April 18, 2005 - January 26, 2006
COLLINS STEWART INC.
BD
CRD#: 47414
NEW YORK, NY
Past
January 8, 2005 - May 3, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
March 21, 2003 - January 26, 2005
BURLINGTON CAPITAL MARKETS INC.
BD
CRD#: 26991
NEW YORK, NY
Past
November 12, 2001 - December 3, 2002
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
April 26, 2000 - November 15, 2001
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
October 1, 1999 - December 15, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 24, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
May 13, 1991 - February 19, 1999
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
December 5, 1990 - March 7, 1991
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 22, 1989 - December 15, 1990
NEW YORK & FOREIGN SECURITIES CORPORATION
BD
CRD#: 10652
NEW YORK, NY
Past
November 23, 1988 - April 27, 1989
CIBC WOOD GUNDY SECURITIES CORP.
BD
CRD#: 3801
Past
July 7, 1987 - October 25, 1988
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
Past
September 10, 1985 - July 7, 1987
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Arizona(7/20/2018)
RR
California(3/31/2017)
RR
Colorado(6/13/2018)
RR
Connecticut(3/31/2017)
RR
District of Columbia(5/29/2018)
RR
Florida(3/31/2017)
IAR
Florida(4/11/2017)
RR
Georgia(7/20/2018)
RR
Iowa(9/10/2024)
RR
Kentucky(2/29/2024)
RR
Maine(7/20/2018)
RR
Maryland(5/29/2018)
RR
Massachusetts(5/3/2017)
RR
Missouri(2/29/2024)
RR
New Hampshire(7/20/2018)
RR
New Jersey(1/12/2024)
RR
New Mexico(2/29/2024)
RR
New York(3/31/2017)
RR
North Carolina(1/12/2024)
RR
Ohio(1/12/2024)
RR
Pennsylvania(4/18/2019)
RR
Rhode Island(3/31/2017)
RR
South Carolina(4/13/2023)
RR
Texas(10/2/2017)
RR
Utah(1/12/2024)
RR
Vermont(7/20/2018)
RR
Virginia(5/29/2018)
RR
Wisconsin(1/12/2024)
RR
Wyoming(3/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/29/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
Company Information
MOORS & CABOT, INC.
CRD#: 594Boston, MA 02110TRUST BUT VERIFY
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