John M. 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 Mark Sullivan, who also goes by Mark Sullivan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2014 - November 25, 2014
INVESTMENT NETWORK, INC.
April 8, 2011 - December 31, 2012
FORESTERS EQUITY SERVICES, INC.
May 26, 2010 - January 4, 2011
BROOKSTONE SECURITIES, INC.
November 18, 1998 - March 31, 2010
N.I.S. FINANCIAL SERVICES, INC.
September 1, 1998 - November 17, 1998
SIGNATOR INVESTORS, INC.
October 13, 1997 - July 16, 1998
N.I.S. FINANCIAL SERVICES, 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
INVESTMENT NETWORK, INC.
CRD#: 127724 / SEC#: , 8-66036
Contact information
FINRA licenses (27 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
