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JS

Jason D. Sullivan

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CRD#: 5631207
JS

Professional summary

Jason David Sullivan was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jason David Sullivan was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 2009. Jason had worked at 6 firms and has passed the Series 66, SIE 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 27, 2016 - January 12, 2017

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

July 1, 2014 - January 5, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SPRING HILL, FL
Past

June 30, 2014 - January 5, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SPRING HILL, FL
Past

April 22, 2013 - July 7, 2014

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
CLEARWATER, FL
Past

April 17, 2013 - July 7, 2014

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CLEARWATER, FL
Past

October 2, 2012 - March 27, 2013

MUTUAL TRUST ASSET MGMT., INC.

RIA
CRD#: 121364
LEESBURG, FL
Past

May 25, 2012 - March 27, 2013

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

BD
CRD#: 8494
LEESBURG, FL
Past

April 2, 2009 - May 22, 2012

EDWARD JONES

RIA
CRD#: 250
DUNEDIN, FL
Past

March 3, 2009 - May 22, 2012

EDWARD JONES

BD
CRD#: 250
DUNEDIN, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/13/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2009
General Securities Representative Examination

Current Firm

WF
WOODSTOCK FINANCIAL GROUP, INC.
ASSET MARKETING STRATEGIES,LLC | WOODSTOCK FINANCIAL GROUP, INC. | WINSTON COOPER INC. | WILLIAMS ADVISORY GROUP, LLC | WIENIEWITZ FINANCIAL | VERITAS FINANCIAL GROUP | TOMOLONIS FINANCIAL, LLC | ROOT FINANCIAL SERVICES | ROBERTS WEALTH MANAGEMENT | RETIREMENT SOLUTIONS OF GA | REINHARDT CONSULTING GROUP | RAIKE FINANCIAL GROUP INC. | RAIKE FINANCIAL GROUP | LOTUS POSITIONS, LLC | LAKE WYLIE FINANCIAL, LLC | GLASGOW FINANCIAL SERVICES | FIRST CHOICE FINANCIAL GROUP | FESSLER FINANCIAL GROUP | FESSLER FINANCIAL | F.I.T. FINANCIAL | EDGEWOOD FINANCIAL | DRESSLER FINANCIAL SERVICES, INC. | DRAWDY FINANCIAL SERVICES, LLC | COVENANT WEALTH MANAGEMENT | CORE FINANCIAL | CBG FINANCIAL INC. | BRUCKNER FINANCIAL GROUP | BRANCA FINANCIAL GROUP | BOND FINANCIAL SERVICES

CRD#: 38095 / SEC#: 801-65881, 8-48080

BD
Terminated by SEC on 02/10/2020
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Contact information

Main Address
117 Towne Lake Parkway Suite 200, Woodstock, GA 30188
Mailing Address
Phone number
Established
Georgia since 04/28/2009
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29, 2018 (3/30/2018)

Direct owners and executive officers

NamePositionCRD#
WOODSTOCK HOLDINGS INCHOLDING COMPANY
BRANCA, ANTHONY DOUGLASCHIEF COMPLIANCE OFFICER OF BD1178639
BRANCA, ANTHONY DOUGLASCHIEF OPERATING OFFICER1178639
RAIKE, WILLIAM JASPER IIICHIEF COMPLIANCE OFFICER - RIA1502298
RAIKE, WILLIAM JASPER IIIPRESIDENT / CEO1502298
RAIKE, WILLIAM JASPER IIIROSFP1502298
WHITLEY, MELISSA LYNNCHIEF FINANCIAL OFFICER / FINOP2615710

Disclosures

Regulatory Event6
Arbitration7

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

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

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