AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

James R. Sullivan

CASTLE HILL CAPITAL PARTNERS
NEW YORK, NY 10017
CRD#: 4213461
Some features on this profile are disabled
JS
James Roger Sullivan IIICASTLE HILL CAPITAL PARTNERS

Professional summary

James Roger Sullivan III is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 5 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 James Roger Sullivan III's CRS (Customer Relationship Summary).
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

March 4, 2024 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017
BD
CRD#: 44131
NEW YORK, NY
Past

April 11, 2007 - June 10, 2008

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

July 24, 2006 - April 5, 2007

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

November 15, 2004 - July 28, 2006

FORESIGHT RESEARCH SOLUTIONS LLC

BD
CRD#: 131411
NEW YORK, NY
Past

May 10, 2002 - May 21, 2004

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, 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
Connecticut
(12/21/2025)
RR
Missouri
(12/21/2025)
RR
New York
(12/11/2024)
RR
Ohio
(12/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/4/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 9/7/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CASTLE HILL CAPITAL PARTNERS, INC.
BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
216 East 45th Street, Suite 1301, New York, NY 10017
Mailing Address
216 East 45th Street, Suite 1301, New York, NY 10017
Phone number
(212) 784-6104
Established
New York since 09/05/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAUNDERS, ANDREW O'BRIENPRESIDENT5690785
WEBSTER, GEOFFREY LEHMANPRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2561071

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

CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131New York, NY 10017

TRUST BUT VERIFY

Monitor James Sullivan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.