James P. 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.
James Patrick Sullivan, who also goes by James Patrick Sullivan Jr., James P Sullivan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2021 - March 22, 2023
SCOTIA CAPITAL (USA) INC.
September 1, 2017 - October 30, 2020
HSBC SECURITIES (USA) INC.
April 15, 2015 - July 2, 2017
BARCLAYS CAPITAL INC.
August 30, 2010 - April 22, 2015
NATWEST MARKETS SECURITIES INC.
October 23, 2009 - August 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2006 - August 19, 2010
BANC OF AMERICA SECURITIES LLC
November 8, 2004 - November 10, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
June 3, 2002 - October 27, 2004
TULLETT PREBON FINANCIAL SERVICES LLC
January 31, 2001 - June 4, 2002
PREBON FINANCIAL PRODUCTS INC.
January 26, 2001 - June 4, 2002
PREBON SECURITIES (USA) 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
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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