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

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

Joshua W. Sullivan

JONESTRADING
Pittsford, NY 14534
Some features on this profile are disabled
CRD#: 5344406
JS

Professional summary

Joshua Ward Sullivan is a registered financial professional currently at JONESTRADING located in Pittsford, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2007. Joshua has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 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 Joshua Ward Sullivan'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

September 3, 2025 - Present

JONESTRADING

Office #1: 16 South Main Street, Pittsford, NY 14534
BD
CRD#: 6888
Pittsford, NY
Past

January 2, 2020 - September 12, 2025

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

August 4, 2016 - December 31, 2019

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

April 20, 2015 - June 30, 2016

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
New York, NY
Past

October 25, 2011 - April 20, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

June 16, 2010 - September 9, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

June 6, 2007 - June 25, 2010

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
GREENWICH, CT

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
California
(9/3/2025)
RR
Colorado
(9/3/2025)
RR
Connecticut
(9/3/2025)
RR
Florida
(9/3/2025)
RR
Hawaii
(9/3/2025)
RR
Massachusetts
(9/3/2025)
RR
New Jersey
(9/3/2025)
RR
New York
(9/3/2025)
RR
North Carolina
(9/3/2025)
RR
South Carolina
(9/3/2025)
RR
Texas
(9/3/2025)
RR
Utah
(9/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2007
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 87
Date: 8/9/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 7/26/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 6/4/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JONES & ASSOCIATES, INC.HOLDING COMPANY
BELL, JEREMY DAVIDCCO4498676
CHMIELEWSKI, STEVEN ANDREWDIRECTOR2066307
COHEN, SHLOMODIRECTOR2877188
COOK, BURKE MCCLAINCORPORATE SECRETARY / LEGAL COUNSEL4863190
HILL, ALAN FINBARCEO / DIRECTOR5182098
KIRSCH, WILLIAM TANNERDIRECTOR5428522
LEVEEN, JEFFREY EARLE JRDIRECTOR2919172
MICSKY, JEFFREY ADIRECTOR4820920
ONEIL, TIMOTHY DAWSONEXECUTIVE CHAIRMAN2355507
TESORO, ANTHONY JAMESDIRECTOR
TESORO, PHILLIP JAMESDIRECTOR2009378
WONG, JEFFREY RYANFINANCIAL AND OPERATIONS PRINCIPAL4428807

Disclosures

Regulatory Event9

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

JONESTRADING

CRD#: 6888Pittsford, NY 14534

TRUST BUT VERIFY

Monitor Joshua Sullivan

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

Similar Advisors

Mark Oconnell Downey II
Mark DowneyAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
IAR
RR
Rochester, NY
DD
Donald DevittoAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
Rochester, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics