John J. Osullivan
Professional summary
John Joseph Osullivan, who also goes by John J Osullivan, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Chalfont, Pennsylvania and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Osullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 23, 2011 - Present
FIRST TRUST ADVISORS LP
June 21, 2005 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187March 15, 2004 - May 23, 2005
GUGGENHEIM INVESTMENTS
March 14, 2003 - May 25, 2004
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 14, 2003 - May 23, 2005
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
August 6, 1998 - March 12, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1998 - October 2, 1998
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/21/2005)
(11/23/2011)
(6/21/2005)
Exams
FINRA
Current Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
Red Flags
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