John S. 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 Stephen Sullivan III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 3 firms and has passed the Series 3, Series 7, Series 4, Series 27 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
June 30, 2003 - March 11, 2013
BOREAL CAPITAL MANAGEMENT LLC
April 29, 1998 - December 13, 2016
EFG CAPITAL ADVISORS INC.
March 19, 1987 - May 15, 2007
PRS INTERNATIONAL BROKERAGE, INC.
Primary Firm SEC Registration
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221 / SEC#: 801-57604
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
Current Firm
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221 / SEC#: 801-57604
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 719 |
| AUM (Assets Under Management) | $ 1,839,898,461 |
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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