John B. Sullivan

PORTLAND GLOBAL ADVISORS LLC

Portland, ME 04101

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CRD#: 1770178

Professional summary

John Barker Sullivan, who also goes by Jb Sullivan, John Sullivan, is a registered financial advisor currently at PORTLAND GLOBAL ADVISORS LLC located in Portland, Maine.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. John has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jb Sullivan | John 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Barker Sullivan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 24, 2006 - Present

PORTLAND GLOBAL ADVISORS LLC

Office #1: 217 Commercial St Suite 400, Portland, ME 04101

RIA

CRD#: 109127

Portland, ME

Past

June 5, 1989 - April 4, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

June 5, 1989 - April 4, 1994

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

June 5, 1989 - April 4, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 22, 1987 - May 13, 1989

DB ALEX. BROWN LLC

CRD#: 17790

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".

PORTLAND GLOBAL ADVISORS LLC

CRD#: 109127 / SEC#: 801-54256

RIA

Registered Investment Advisory firm - (4/11/1997 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Maine
(4/24/2006)

IAR

Texas
(5/28/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/8/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

Current Firm

PORTLAND GLOBAL ADVISORS LLC

CRD#: 109127 / SEC#: 801-54256

RIA

Registered Investment Advisory firm - (4/11/1997 Approved)

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Contact information

Main Address

217 Commercial St Suite 400, Portland, ME 04101

Mailing Address

Phone number

(207) 773-2773

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (PART 2A OF FORM ADV) (6/25/2025)

Regulatory assets under management

Total Number of Accounts	894
AUM (Assets Under Management)	$ 1,006,240,328

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.

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Advisor Monitoring

Firm Stability Insights

John B. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Barker Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

DB ALEX. BROWN LLC

Primary Firm SEC Registration

PORTLAND GLOBAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2006

Series 63

Date: 11/3/1994

Series 7

Date: 11/21/1987

Current Firm

PORTLAND GLOBAL ADVISORS LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PORTLAND GLOBAL ADVISORS LLC

TRUST BUT VERIFY

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