John W. 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 Wallace Sullivan, who also goes by John W Sullivan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 14 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
March 29, 2024 - July 31, 2024
STONEHAVEN, LLC
May 16, 2014 - January 31, 2024
JAVELIN SECURITIES, LLC
May 5, 2012 - February 5, 2013
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 14, 2000 - May 21, 2012
PULSE TRADING, INC.
February 24, 1999 - August 14, 2000
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
July 1, 1998 - January 12, 1999
COWEN AND COMPANY
September 30, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 29, 1995 - September 19, 1997
NATIONAL FINANCIAL SERVICES LLC
November 24, 1993 - September 29, 1995
FIDELITY BROKERAGE SERVICES 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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