John D. Sullivan

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CRD#: 2926996

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 David Sullivan, who also goes by John Sullivan, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John 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.

1) INTERNATIONAL ASSETS INVESTMENT ADVISORY, LLC 390 N ORANGE AVE STE 750 ORLANDO, FL 32801 - REGISTERED INVESTMENT ADVISOR - INVESTMENT ADVISOR SINCE 7/2020 - APPROX 40 HRS/MO - FEE BASED COMPENSATION 2) SULLIVAN WEALTH STRATEGIES 5850 WATERLOO ROAD, SUITE 140, COLUMBIA, MD 21045 - INSURANCE MARKETING, SALES AND SERVICE - AGENT SINCE 3/2011 - APPROX 160 HRS/MO - COMMISSIONS 3) UPS - LAUREL, MD - LOGISTICS EMPLOYEE SINCE 6/2021 - APPROX 80HRS/MO - HOURLY WAGE 4) AMAZON.COM, INC. HANOVER, MD - LOGISTICS EMPLOYEE SINCE 6/2021 - APPROX 80 HRS/MO - HOURLY WAGE 5) DOOR DASH COLUMBIA, MD - LOGISTICS EMPLOYEE SINCE 2/2022 - APPROX 10 HRS/MO - HOURLY WAGE

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

July 31, 2020 - February 4, 2021

GLOBAL ASSETS ADVISORY, LLC

RIA

CRD#: 300460

COLUMBIA, MD

Past

July 31, 2020 - November 16, 2022

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

COLUMBIA, MD

Past

July 31, 2020 - November 2, 2022

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

COLUMBIA, MD

Past

October 22, 2018 - July 23, 2020

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Columbia, MD

Past

March 24, 2017 - July 27, 2020

LEXAURUM ADVISORS

RIA

CRD#: 283653

Columbia, MD

Past

March 24, 2017 - October 19, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

COLUMBIA, MD

Past

September 1, 2016 - March 27, 2017

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

COLUMBIA, MD

Past

September 1, 2016 - March 27, 2017

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

COLUMBIA, MD

Past

March 17, 2011 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

COLUMBIA, MD

Past

March 17, 2011 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

COLUMBIA, MD

Past

September 20, 2010 - March 18, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

COLUMBIA, MD

Past

February 4, 1998 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 4, 1998 - March 18, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COLUMBIA, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GLOBAL ASSETS ADVISORY, LLC

CRD#: 300460 / SEC#: 801-114946

RIA

Registered Investment Advisory firm - (4/5/2019 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GLOBAL ASSETS ADVISORY, LLC

CRD#: 300460 / SEC#: 801-114946

RIA

Registered Investment Advisory firm - (4/5/2019 Approved)

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Contact information

Main Address

111 N. Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

Phone number

(407) 254-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAA ADV PART 2A 3.25.2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,213
AUM (Assets Under Management)	$ 338,145,734

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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Advisor Monitoring

Firm Stability Insights

John D. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

INTEGRITY ALLIANCE, LLC.

LEXAURUM ADVISORS

BROKER DEALER FINANCIAL SERVICES CORP.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

GLOBAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2010

Series 63

Date: 10/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2010

Series 6

Date: 2/3/1998

Current Firm

GLOBAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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