Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Brian Andrew O'Sullivan
BRIAN ANDREW OSULLIVAN MR., BRIAN ANDREW OSULLIVAN
CRD#: 1820435
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 965 Rockland Rd
LAKE BLUFF, IL 60044
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - Present (12 years)BWEXTRUST SECURITIES LLC (CRD# 137559)2008 - 2008 (<1 year)BADVANCED EQUITIES, INC. (CRD# 35545)2006 - 2007 (1 year)
License(s)

State Registrations

B
Alabama 4/2/2019
B
Minnesota 8/19/2021
B
Arizona 10/1/2012
B
Missouri 10/5/2017
B
Arkansas 10/14/2022
B
Nevada 10/1/2012
B
California 10/1/2012
B
New York 11/4/2024
B
Colorado 10/1/2012
B
North Carolina 10/1/2012
B
Connecticut 6/4/2015
B
Oregon 2/22/2017
B
Florida 10/1/2012
B
Pennsylvania 2/25/2016
B
Georgia 7/11/2018
B
South Carolina 10/1/2012
B
Illinois 10/1/2012
B
Texas 10/1/2012
IA
Illinois 10/1/2012
IA
Texas 9/19/2013
B
Indiana 2/17/2022
B
Utah 5/14/2020
B
Iowa 1/24/2023
B
Virginia 11/3/2020
B
Kentucky 8/23/2018
B
Washington 12/2/2022
B
Maryland 2/15/2013
B
Wisconsin 10/1/2012
B
Massachusetts 3/14/2019

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
965 Rockland Rd, LAKE BLUFF, IL 60044
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
965 Rockland Rd, LAKE BLUFF, IL 60044
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/24/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LIBERTYVILLE, IL
B
 10/24/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LIBERTYVILLE, IL
IA
 12/15/2009 - 10/07/2011 EDWARD JONES (CRD#:250) LIBERTYVILLE, IL
B
 12/01/2009 - 10/07/2011 EDWARD JONES (CRD#:250) LIBERTYVILLE, IL
B
 03/12/2008 - 12/16/2008 WEXTRUST SECURITIES LLC (CRD#:137559) CHICAGO, IL
B
 01/11/2006 - 08/14/2007 ADVANCED EQUITIES, INC. (CRD#:35545)
FINRA expelled the firm on 08/18/2014
CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.