James G. 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.
James Gormley Sullivan, who also goes by James Sullivan, Jamie Gormley Sullivan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, 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
June 23, 2012 - August 10, 2018
LANDOLT SECURITIES, INC.
May 22, 2001 - June 26, 2012
FIRST INTERNET SECURITIES NETWORK
December 1, 1997 - May 15, 2001
GROVE POINT INVESTMENTS, LLC
June 23, 1997 - September 9, 1997
TZ CLEAR LLC
August 22, 1996 - November 20, 1996
JOSEPHTHAL & CO., INC.
April 28, 1988 - August 21, 1996
FERRIS, BAKER WATTS, LLC
October 22, 1986 - August 21, 1996
FERRIS, BAKER WATTS, 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 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
