Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian D. Sullivan is a financial professional with over 20 years of experience in the industry. Brian currently works as a registered representative for J.P. Morgan Securities LLC, where they have been employed since September 2023. Brian previously worked for CREDIT SUISSE SECURITIES (USA) LLC, DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC, and DEUTSCHE BANK SECURITIES INC. Brian has a wide range of experience in the financial industry, including experience in securities trading, operations, and investment advisory. Brian is a licensed securities professional and holds the Series 3, 7, 24, 55, 57TO, 63, 99TO, and SIE licenses. Brian is registered to provide investment advice and securities services in all 50 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
09/08/2023 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
03/15/2004 - 08/31/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
06/10/2003 - 03/16/2004
DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)
NY
04/05/2001 - 05/30/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 11/28/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2005
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/03/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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