John P. 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 Patrick Sullivan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 6 firms and has passed the Series 5 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1986 - November 20, 1986
GEORGE R. FAIRWEATHER SECURITIES, INC.
November 1, 1985 - April 15, 1986
FLEET BROKERAGE SECURITIES, INC.
March 29, 1985 - October 15, 1985
HAAS SECURITIES CORPORATION
July 28, 1983 - March 27, 1985
MORGAN STANLEY DW INC.
January 18, 1983 - March 28, 1984
UBS FINANCIAL SERVICES INC.
July 8, 1981 - March 9, 1983
JII SECURITIES INC.
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 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
GEORGE R. FAIRWEATHER SECURITIES, INC.
CRD#: 10122 / SEC#: , 8-34105
Contact information
Documents
Red Flags
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