Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daniel Sullivan is a financial professional with over 28 years of experience in the financial services industry. James is currently a Registered Representative and Investment Advisor Representative at Private Advisor Group, LLC, where he has been employed since 2011. James has also held previous positions at MAXIM GROUP LLC, INVESTEC ERNST & COMPANY, and STUART, COLEMAN & CO., INC. James holds a variety of licenses and certifications, including Series 7, 9, 10, 24, 27, 63, 65, 8, 99TO and SIE. James is registered in 53 states and the District of Columbia, as well as in New Jersey and New York as an Investment Advisor Representative. James specializes in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and institutions. James is committed to providing his clients with personalized financial solutions that meet their specific needs and goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitation/referral
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor/referral fees
1
2
NJ
04/14/2023 - Present
Private Advisor Group, LLC (MORRISTOWN NJ)
NY
09/25/2002 - 05/27/2011
MAXIM GROUP LLC (NEW YORK NY)
NY
06/01/1999 - 10/28/2002
INVESTEC ERNST & COMPANY (NEW YORK NY)
NY
11/21/1994 - 06/01/1999
STUART, COLEMAN & CO., INC. (NEW YORK NY)
IA
Issued 04/01/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/2002
Series 24 - General Securities Principal Examination
BC
Issued 12/23/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/18/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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