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JS

John F. Sullivan

DYNASTY SECURITIES
Chicago, IL 60602
Some features on this profile are disabled
CRD#: 2906201
JS

Professional summary

John Francis Sullivan, who also goes by John F Sullivan, is a registered financial professional currently at DYNASTY SECURITIES, LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John F 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Francis Sullivan's 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 11, 2018 - Present

DYNASTY SECURITIES, LLC

Office #1: 33 North Dearborn Suite 1160, Chicago, IL 60602
BD
CRD#: 159076
Chicago, IL
Past

March 21, 2013 - April 13, 2016

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
NEW YORK, NY
Past

August 3, 2012 - January 12, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
NEW YORK, NY
Past

June 1, 2009 - January 27, 2012

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

June 26, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 22, 1997 - June 18, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(7/17/2020)
RR
New York
(1/11/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/8/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DYNASTY SECURITIES, LLC
DYNASTY SECURITIES, LLC | PPS SECURITIES, LLC

CRD#: 159076 / SEC#: , 8-68962

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Mailing Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Phone number
(212) 373-1019
Established
New York since 08/15/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DYNASTY FINANCIAL PARTNERS, LLCSHAREHOLDER
BUTTE, ANDREW THOMASCCO2094794
HOPKINS, THOMAS JOHNFINOP1835087
SALIT, MASON CARYCEO5105375

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.

Company Information

DYNASTY SECURITIES, LLC

CRD#: 159076Chicago, IL 60602

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