Jim Sullivan

CRD 4183144 · J.P. Morgan Securities LLC · New York, NY

Broker

Also appears in the source record as: James Patrick Sullivan Jr.; James Patrick Sullivan; James P Sullivan; Jim Patrick Sullivan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (4): SIESeries 7Series 24Series 63
Registered states: Not yet retrieved from the source record
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (12)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
Scotia Capital (USA) Inc.
New York, NY · BC capacity

Jan 27, 2021 → Mar 22, 2023
Hsbc Securities (USA) Inc.
New York City, NY · BC capacity

Sep 1, 2017 → Oct 30, 2020
Barclays Capital Inc.
New York, NY · BC capacity

Apr 15, 2015 → Jul 2, 2017
Rbs Securities Inc.
Stamford, CT · BC capacity

Aug 30, 2010 → Apr 22, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Oct 23, 2009 → Aug 19, 2010
Banc Of America Securities LLC
New York, NY · BC capacity

Apr 26, 2006 → Aug 19, 2010
Tradition Asiel Securities Inc.
New York, NY · BC capacity

Nov 8, 2004 → Nov 10, 2005
Tullett Liberty Securities Inc.
New York, NY · BC capacity

Jun 3, 2002 → Oct 27, 2004
Prebon Financial Products Inc.
Jersey City, NJ · BC capacity

Jan 31, 2001 → Jun 4, 2002
Prebon Securities (USA) Inc.
Jersey City, NJ · BC capacity

Jan 26, 2001 → Jun 4, 2002

Source & corrections

Where this page comes from

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