John P. 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 Patrick Sullivan JR, who also goes by John Patrick Sullivan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 16 firms and has passed the Series 63, Series 7, Series 28 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
September 27, 2007 - July 27, 2009
PHD CAPITAL
April 24, 2006 - July 11, 2006
CHICAGO INVESTMENT GROUP, LLC
September 1, 2005 - March 23, 2006
CP CAPITAL SECURITIES
September 9, 2004 - August 26, 2005
JERA SECURITIES, INC.
June 12, 2002 - September 1, 2004
CP CAPITAL SECURITIES
April 9, 2002 - June 5, 2002
SALOMON GREY FINANCIAL CORPORATION
February 14, 2001 - March 11, 2002
FIRST MONTAUK SECURITIES CORP.
November 14, 2000 - February 1, 2001
SALOMON GREY FINANCIAL CORPORATION
March 5, 1998 - November 15, 2000
BARRON CHASE SECURITIES, INC.
December 19, 1997 - March 5, 1998
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
June 11, 1997 - December 4, 1997
FIRST SECURITY INVESTMENTS, INC.
October 2, 1996 - June 6, 1997
MEYERS POLLOCK ROBBINS, INC.
September 7, 1995 - September 30, 1996
FIRST COLONIAL SECURITIES
July 18, 1994 - September 8, 1995
INVESTACORP, INC.
March 8, 1994 - July 15, 1994
H.C.WAINWRIGHT & CO., LLC
February 5, 1993 - March 8, 1994
DUNHILL EQUITIES, INC.
October 15, 1992 - January 13, 1993
MERIDIAN, DUNHILL & CO., INC.
July 23, 1992 - October 16, 1992
VANGUARD CAPITAL
April 29, 1992 - July 6, 1992
VANGUARD CAPITAL
April 15, 1992 - April 23, 1992
MERIDIAN, DUNHILL & CO., INC.
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 28
Date: 11/25/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
