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

John Paul Sullivan

HRC FUND ASSOCIATES
New York, NY 10005
Some features on this profile are disabled
CRD#: 6212659
JS

Professional summary

John Paul Sullivan, who also goes by John Paul Sullivan, is a registered financial professional currently at HRC FUND ASSOCIATES, LLC located in New York, New York.

John Paul is registered as a RR (Registered Representative) and started their career in finance in 2013. John Paul has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Paul Sullivan

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 John Paul 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

June 9, 2014 - Present

HRC FUND ASSOCIATES, LLC

Office #1: 88 Pine Street 31st Floor, Suite 3101, New York, NY 10005
BD
CRD#: 142846
New York, NY
Past

October 1, 2013 - April 14, 2014

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
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
California
(1/16/2018)
RR
Florida
(8/20/2018)
RR
Georgia
(1/16/2018)
RR
Iowa
(9/2/2021)
RR
Louisiana
(9/7/2022)
RR
Nevada
(9/2/2021)
RR
New Jersey
(1/16/2018)
RR
New York
(6/9/2014)
RR
North Carolina
(9/7/2022)
RR
Oregon
(5/5/2017)
RR
Texas
(1/16/2020)
RR
Utah
(5/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2013
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 7
Date: 10/1/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HRC FUND ASSOCIATES, LLC
D/B/A TIVIRA PARTNERS | MMB SECURITIES LLC | LIBERTY STREET SECURITIES LLC | HRC FUND ASSOCIATES, LLC

CRD#: 142846 / SEC#: , 8-67496

BD
Broker-Dealer Firm Regulated by FINRA (New York 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
88 Pine Street 31st Floor, Suite 3101, New York, NY 10005
Mailing Address
88 Pine Street 31st Floor, Suite 3101, New York, NY 10005
Phone number
(212) 240-9726
Established
Delaware since 06/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 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#
DANIELS, SCOTT DAVIDMEMBER; FINOP, CFO1912249
FONTANA, VICTOR J JR.CONTROLLER6054744
FONTANA, VICTOR JOSEPHMEMBER, PRESIDENT, COO1240936
HILL, RAYMOND ALEXANDER IIIMEMBER1950094
REICK, TIMOTHY WILLIAMCEO, MEMBER4384534
THE DANIELS GST TRUSTMEMBER
THE FONTANA GST TRUSTMEMBER
THE RAYMOND HILL GST TRUSTMEMBER
DANIELS, SCOTT DAVIDTRUSTEE - THE FONTANA GST TRUST1912249
DANIELS, SCOTT DAVIDTRUSTEE - THE RAYMOND HILL GST TRUST1912249
DANIELS, TERI ANNTRUSTEE - THE DANIELS GST TRUST6154120
FONTANA, CHRISTINE LYNNTRUSTEE - THE FONTANA GST TRUST6153900
FONTANA, VICTOR JOSEPHTRUSTEE - THE DANIELS GST TRUST1240936
NOWACK, ANDREW PETERCCO, GENERAL COUNSEL2488500

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

HRC FUND ASSOCIATES, LLC

CRD#: 142846New York, NY 10005

TRUST BUT VERIFY

Monitor John Paul Sullivan

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

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, 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