Kevin J. O'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.
Kevin John O'sullivan, who also goes by Kevin John O'sullivan, Kevin Osullivan, Kevin John Osullivan, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1992. Kevin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2010 - October 7, 2016
STATE FARM VP MANAGEMENT CORP.
October 12, 2007 - May 19, 2010
STRATEGIC ADVISERS LLC
October 5, 2007 - May 17, 2010
FIDELITY BROKERAGE SERVICES LLC
August 13, 2007 - September 19, 2007
COUNTRY CAPITAL MANAGEMENT COMPANY
June 14, 2004 - June 14, 2004
J.P. MORGAN CLEARING CORP.
June 14, 2004 - June 14, 2004
J.P. MORGAN SECURITIES LLC
October 10, 2000 - February 26, 2007
J.P. MORGAN CLEARING CORP.
October 10, 2000 - February 26, 2007
J.P. MORGAN SECURITIES LLC
April 30, 1996 - May 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1992 - March 26, 1996
PRUDENTIAL EQUITY GROUP, 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 8
Date: 2/10/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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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