John J. Sullivan

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CRD#: 2648421

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 James Sullivan JR was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1995. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2015 - September 25, 2017

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - September 25, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MCLEAN, VA

Past

March 8, 2012 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

March 8, 2012 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MCLEAN, VA

Past

October 15, 2008 - March 15, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

RESTON, VA

Past

October 13, 2008 - March 15, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

RESTON, VA

Past

May 29, 2007 - July 31, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

May 29, 2007 - July 31, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

July 5, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

WASHINGTON, DC

Past

April 14, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

WASHINGTON, DC

Past

February 11, 2002 - March 18, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 6, 1999 - November 16, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 22, 1995 - May 28, 1999

REPUBLIC FINANCIAL SERVICES CORPORATION

CRD#: 38293

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/19/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

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Contact information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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 J. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

REPUBLIC FINANCIAL SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2005

Series 63

Date: 10/25/1995

SIE

Date: 9/25/2017

Series 7

Date: 4/23/2002

Series 6

Date: 8/19/1995

Current Firm

CAPITAL ONE ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

CAPITAL ONE ADVISORS, LLC

TRUST BUT VERIFY

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