John D. Sullivan
Professional summary
John Denis Sullivan, who also goes by John Denis Sullivan, John Sullivan, is a registered financial professional currently at BRUCE MARKETS LLC located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2014. John has worked at 4 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Denis Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2025 - Present
BRUCE MARKETS LLC
Office #1: 141 W Jackson Blvd Suite 500, Chicago, IL 60604May 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 ExamFINRA
Current Firm
BRUCE MARKETS LLC
CRD#: 300209 / SEC#: , 8-70286
Contact information
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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