James L. Sullivan
Professional summary
James L Sullivan, who also goes by James Lowell Sullivan, Jim Sullivan, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James L Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2018 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 110 North Wacker Drive Suite 3125, Chicago, IL 60606October 26, 2011 - October 2, 2017
GRV SECURITIES 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
(8/27/2018)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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