John L. Moffat
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 L Moffat was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2019 - December 31, 2024
SULLIVAN INVESTMENT MANAGEMENT LLC
October 1, 2002 - January 7, 2020
BUENA VISTA INVESTMENT MANAGEMENT LLC
October 14, 1999 - December 3, 2002
WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
SULLIVAN INVESTMENT MANAGEMENT LLC
CRD#: 289217 / SEC#: 801-135832
Contact information
Regulatory assets under management
| Total Number of Accounts | 141 |
| AUM (Assets Under Management) | $ 111,800,000 |
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.
