John Warren Sullivan
Professional Summary
John Warren Sullivan, who also goes by John W. Sullivan, is a registered financial advisor currently at FOUNDERS M&A ADVISORY, LLC located in Birmingham, Alabama. John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John W. Sullivan
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FOUNDERS M&A ADVISORY, LLC
Contact Information
Main Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233Mailing Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233Phone Number
(205) 949-2043Established
Alabama since 10/30/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOUNDERS ADVISORS, LLC (FORMERLY KNOWN AS FOUNDERS INVESTMENT BANKING LLC) | OWNER | — |
| ALVAREZ, ENRIQUE | FINOP | 4622342 |
| CATES, ERIC OBIE IV | CCO | 6394899 |
| HIRSCH, KENNETH ALAN | BOARD MEMBER | 2588742 |
| IRBY, RUSSELL LEE III | BOARD MEMBER | — |
| LEGG, JAMES WESLEY | PRESIDENT & CEO | 6358296 |
| TARENCE, ZANE P | BOARD MEMBER | 5861607 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/4/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2021About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed May 2005About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Warren Sullivan's CRS (Customer Relationship Summary).
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