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JAMES SCOTT SULLIVAN JR
SCOTT SULLIVAN, JAMES SCOTT SULLIVAN JR
CRD#: 3233404
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 2703 BRECKENRIDGE STREET, STE A
OWENSBORO, KY 42303
OWENSBORO, KY 42303
LPL FINANCIAL LLCCRD#: 6413 2703 BRECKENRIDGE ST, STE A
OWENSBORO, KY 42303
OWENSBORO, KY 42303
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Alabama 11/30/2017
B
New Jersey 2/10/2015
B
Colorado 10/12/2017
B
North Carolina 6/30/2014
B
Florida 6/2/2016
B
Ohio 7/25/2017
B
Georgia 6/30/2014
B
Oklahoma 8/14/2023
B
Indiana 6/30/2014
B
South Carolina 3/28/2018
B
Kentucky 6/30/2014
B
Tennessee 6/30/2014
IA
Kentucky 6/30/2014
B
Texas 7/25/2016
B
Mississippi 5/5/2017
IA
Texas 8/5/2024
B
Missouri 7/22/2015
SRO Registrations
B
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IA
Registered with this firm since 6/30/2014
B
Registered with this firm since 6/30/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2011 - 07/22/2014 | OWENSBORO, KY | |
B | 03/17/2011 - 07/22/2014 | OWENSBORO, KY | |
B | 10/22/2007 - 02/14/2011 | LOUISVILLE, KY | |
B | 04/19/2000 - 11/19/2007 | LOUISVILLE, KY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.