Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Sullivan is a financial professional with a background in investment banking. John holds Series 79TO, Series 63, and Series 65 licenses and is currently registered with BA Securities, LLC in Connecticut and Pennsylvania. John has been in the securities industry since July 17, 2020, and is dedicated to providing clients with exceptional financial guidance.
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.
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.
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2
CT
03/08/2024 - Present
BA Securities, LLC (STAMFORD CT)
BC
Issued 12/22/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/02/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/08/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 12/08/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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