Brian E. Sullivan
Professional summary
Brian E. Sullivan, who also goes by Brian Edward Sullivan, Brian Sullivan, is a registered financial professional currently at JPMORGAN DISTRIBUTION SERVICES, INC. located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1993. Brian has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian E. Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2025 - Present
JPMORGAN DISTRIBUTION SERVICES, INC.
Office #1: 277 Park Avenue, New York, NY 10172June 1, 2009 - April 11, 2024
MORGAN STANLEY
July 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 28, 2004 - July 11, 2007
CITIGROUP GLOBAL MARKETS INC.
June 25, 2003 - May 7, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
February 10, 2003 - August 5, 2003
TAFFERER TRADING, LLC
February 8, 2002 - October 28, 2002
SCHONFELD SECURITIES, LLC
November 21, 2001 - January 15, 2002
SKEFFINGTON SECURITIES, L.L.C.
April 7, 1997 - November 20, 2001
TAFFERER TRADING, LLC
July 8, 1993 - August 2, 1996
PERSHING LLC
April 7, 1993 - June 18, 1993
NYLIFE 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 3/13/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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