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JS

James L. Sullivan

BURCH & COMPANY,
Kansas City, MO 64116
Some features on this profile are disabled
CRD#: 501266
JS

Professional summary

James Louis Sullivan is a registered financial professional currently at BURCH & COMPANY, INC located in Kansas City, Missouri.

James is registered as a RR (Registered Representative) and started their career in finance in 1981. James has worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

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 Louis Sullivan's 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

October 10, 2016 - Present

BURCH & COMPANY, INC

Office #1: 4151 N. Mulberry Drive Suite 235, Kansas City, MO 64116
BD
CRD#: 102280
Kansas City, MO
Past

November 24, 2014 - June 18, 2015

BENTLEY SECURITIES CORPORATION

BD
CRD#: 25759
NEW YORK, NY
Past

July 22, 2013 - October 23, 2014

MILLER TABAK + CO., LLC

BD
CRD#: 47293
NEW YORK, NY
Past

November 20, 2001 - May 2, 2003

TWENTYTEN, LLC

BD
CRD#: 110437
MCLEAN, VA
Past

April 19, 2000 - May 15, 2001

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 1, 2000 - March 13, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 14, 1996 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

November 10, 1993 - January 4, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 28, 1991 - October 8, 1993

GKB, INC.

BD
CRD#: 350
KANSAS CITY, MO
Past

September 10, 1986 - April 19, 1991

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

August 22, 1983 - July 22, 1985

HAMBRECHT & QUIST LLC

BD
CRD#: 940
Past

February 23, 1981 - December 7, 1983

SALOMON BROTHERS INC.

BD
CRD#: 740

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
(10/10/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/15/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BURCH & COMPANY, INC
BURCH & COMPANY, INC | BURCH & COMPANY, INC.

CRD#: 102280 / SEC#: , 8-52121

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4151 N. Mulberry Drive Suite 235, Kansas City, MO 64116
Mailing Address
4151 N. Mulberry Drive Suite 235, Kansas City, MO 64116
Phone number
(816) 842-4660
Established
Missouri since 06/08/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BURCH, ANTON RANDALSHAREHOLDER720817
BURCH, JENIFER LOUFINANCIAL AND OPERATIONS PRINCIPAL5796387
PASTORINO, JESSICA BROOKPRESIDENT, CCO5230374

Disclosures

Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BURCH & COMPANY, INC

CRD#: 102280Kansas City, MO 64116

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