John T. Sullivan

HUNTLEIGH ADVISORS

DWIGHT, IL 60420

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CRD#: 2289931

Professional summary

John Thomas Sullivan, who also goes by Jack Sullivan, is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Dwight, Illinois and HUNTLEIGH SECURITIES CORPORATION located in Dwight, Illinois.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack 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.

AGENT-FIXED INSURANCE PRODUCTS, SINCE 1993. LESS THAN 2 HOURS/MONTH DEVOTED TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas 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

January 7, 2021 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 108 East Main Street, Dwight, IL 60420

RIA

CRD#: 113412

DWIGHT, IL

Current

January 4, 2021 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 108 East Main Street, Dwight, IL 60420

CRD#: 7456

Dwight, IL

Past

October 23, 2008 - March 28, 2023

DATATEX INVESTMENT SERVICES INC

RIA

CRD#: 105440

KANKAKEE, IL

Past

April 19, 1993 - December 3, 2021

K. W. CHAMBERS & CO.

CRD#: 1432

DWIGHT, IL

Past

January 7, 1993 - April 23, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/14/2021)

Florida
(1/14/2021)

Georgia
(1/14/2021)

Hawaii
(1/14/2021)

IAR

Illinois
(1/7/2021)

Illinois
(1/25/2021)

Indiana
(1/29/2021)

Iowa
(1/14/2021)

Kansas
(8/8/2022)

Kentucky
(1/24/2024)

Michigan
(1/25/2024)

Minnesota
(8/9/2022)

Nevada
(1/29/2021)

Ohio
(5/18/2023)

IAR

Ohio
(7/11/2025)

Pennsylvania
(1/29/2021)

Texas
(1/14/2021)

Washington
(1/14/2021)

IAR

Washington
(1/14/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 11/7/2003

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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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Firm Stability Insights

John T. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HUNTLEIGH SECURITIES CORPORATION

DATATEX INVESTMENT SERVICES INC

K. W. CHAMBERS & CO.

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/1998

Series 63

Date: 12/8/1992

SIE

Date: 10/1/2018

Series 62

Date: 11/7/2003

Series 6

Date: 12/8/1992

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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