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John Brownlee Sullivan

SG Americas Securities, LLC

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About John Brownlee Sullivan

John Brownlee Sullivan is a financial advisor who has been in the industry since January 4, 2010. John currently works for SG Americas Securities, LLC, which is headquartered in New York, NY and is registered with the Securities and Exchange Commission (SEC) as a Broker-Dealer. John has held previous positions at HILLTOP SECURITIES INC., NATIONAL ALLIANCE SECURITIES, LLC, AURIGA USA, LLC, and DEUTSCHE BANK SECURITIES INC. John has passed the Series 63, Series 7, and SIE exams and is currently registered as a broker-dealer in all 50 states, the District of Columbia, and Puerto Rico.

Firm Information

John Sullivan is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John Sullivan’s Registration & Firm History

NY

09/15/2021 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

08/29/2019 - 09/16/2021

HILLTOP SECURITIES INC. (NEW YORK NY)

NY

01/07/2019 - 08/01/2019

NATIONAL ALLIANCE SECURITIES, LLC (New York NY)

NY

04/20/2015 - 12/27/2018

AURIGA USA, LLC (NEW YORK NY)

NY

09/22/2009 - 02/10/2015

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/24/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 PEARL, 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

Disclosures

There are no public disclosures for John Brownlee Sullivan.
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