Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn P. Sullivan is a financial advisor with over 30 years of experience in the financial services industry. John currently works with Moors & Cabot, Inc. and has a breadth of experience across various financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated, WINSLOW, EVANS & CROCKER, INC. and Tucker Anthony Incorporated. John is a Series 66, Series 63, Series 9, Series 10, Series 7, Series 55, and SIE licensed advisor. John is registered in multiple states including Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Iowa, Kentucky, Maine, Maryland, Massachusetts, Missouri, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Wisconsin and Wyoming. John has helped numerous individuals, families, businesses, and institutions achieve their financial 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.
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.
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2
MA
04/11/2017 - Present
Moors & Cabot, Inc. (BOSTON MA)
MA
05/16/2014 - 04/04/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MA
02/13/2012 - 04/29/2014
WINSLOW, EVANS & CROCKER, INC. (BOSTON MA)
MA
02/08/2006 - 02/16/2012
MOORS & CABOT, INC. (BOSTON MA)
NY
04/18/2005 - 01/26/2006
COLLINS STEWART INC. (NEW YORK NY)
NY
01/08/2005 - 05/03/2005
TULLETT LIBERTY SECURITIES INC. (NEW YORK NY)
NY
03/21/2003 - 01/26/2005
BURLINGTON CAPITAL MARKETS INC. (NEW YORK NY)
NY
11/12/2001 - 12/03/2002
GERARD KLAUER MATTISON & CO., INC. (NEW YORK NY)
MA
04/26/2000 - 11/15/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MO
10/01/1999 - 12/15/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/24/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MA
05/13/1991 - 02/19/1999
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
12/05/1990 - 03/07/1991
FAHNESTOCK & CO., INC. (NEW YORK NY)
NY
08/22/1989 - 12/15/1990
NEW YORK & FOREIGN SECURITIES CORPORATION (NEW YORK NY)
NA
11/23/1988 - 04/27/1989
CIBC WOOD GUNDY SECURITIES CORP.
NA
07/07/1987 - 10/25/1988
TUCKER, ANTHONY & R. L. DAY, INC.
NA
09/10/1985 - 07/07/1987
MKI SECURITIES CORP.
BOTH
Issued 06/11/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/21/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/28/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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