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 was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2003 - May 22, 2006
SBK-BROOKS INVESTMENT CORP.
January 9, 2003 - October 27, 2003
BOE SECURITIES INC.
February 17, 2000 - February 14, 2003
M. R. BEAL & COMPANY
July 6, 1998 - February 9, 2000
MELVIN SECURITIES, L.L.C.
November 27, 1995 - March 6, 1998
HAPOALIM SECURITIES USA, INC.
September 26, 1995 - November 3, 1995
DOMINARI SECURITIES LLC
April 8, 1994 - June 23, 1995
MF GLOBAL 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
Current Firm
SBK-BROOKS INVESTMENT CORP.
CRD#: 35851 / SEC#: , 8-46941
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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