Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lawrence Sullivan has been in the financial services industry since December 1977. John is currently registered with UBS Financial Services Inc. in the state of California, where John holds both a Broker-Dealer and Investment Advisor registration. Prior to joining UBS Financial Services Inc., John was previously registered with several other firms, including Jefferies & Company, Inc., Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Warburg Dillon Read LLC, Piper Jaffray Inc., Bear, Stearns & Co. Inc., Lehman Brothers Inc., Lehman Brothers Kuhn Loeb Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch, Pierce, Fenner & Smith, Inc.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
03/28/2011 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
09/27/2007 - 03/29/2011
JEFFERIES & COMPANY, INC. (SAN FRANCISCO CA)
CA
01/17/2003 - 11/07/2007
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NJ
03/05/1999 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
08/18/1998 - 03/19/1999
WARBURG DILLON READ LLC (NEW YORK NY)
MN
11/26/1996 - 08/13/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
08/07/1990 - 11/21/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
08/27/1979 - 08/29/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/04/1979 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
09/26/1978 - 10/09/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
12/05/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BOTH
Issued 11/14/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/1979
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 01/27/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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