John D. Sullivan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Denis Sullivan, who also goes by John Denis Sullivan, John Sullivan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2014. John had worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2025 - May 14, 2026
BRUCE MARKETS LLC
May 10, 2023 - June 5, 2025
IEX SERVICES LLC
July 17, 2020 - May 5, 2023
GOLDMAN SACHS & CO. LLC
August 18, 2014 - March 1, 2019
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
BRUCE MARKETS LLC
CRD#: 300209 / SEC#: , 8-70286
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUCE MARKETS HOLDINGS LLC | MANAGING MEMBER | |
| D'AUGE, RALPH ANTHONY | FINOP/PRINCIPAL FINANCIAL OFFICER | 4664611 |
| INGLOT, KATARZYNA | CHIEF COMPLIANCE OFFICER | 4902558 |
| LISH, MICHAEL K | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 4539941 |
| RUHANA, GEORGE WILLIAM | EXECUTIVE CHAIR - BOARD OF DIRECTORS, BRUCE MARKETS HOLDINGS LLC. | 5517069 |
| WALLACH, JASON | CHIEF EXECUTIVE OFFICER | 4918286 |
Red Flags
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