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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

JOHN LAWRENCE SULLIVAN

Advisor at UBS FINANCIAL SERVICES INC.

SAN FRANCISCO, CA | Atherton, CA

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Search this name across graphsid dfx:ria:254bbb11-6c4e-2412-86f6-0b86bea90448

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Nov 15, 1979
First registration: Jul 18, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 846327

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 28, 2011	n/a	yes	SAN FRANCISCO, CA\|Atherton, CA	Current employment
LEUCADIA ASSET MANAGEMENT LLC	Asset manager	Oct 19, 2007	Mar 29, 2011	no	SAN FRANCISCO, CA\|NEW YORK, NY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Nov 7, 2007	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
PERSHING LLC	n/a	Jul 18, 2002	Jan 17, 2003	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LEUCADIA ASSET MANAGEMENT LLC	UBS FINANCIAL SERVICES INC.	Mar 29, 2011	Mar 28, 2011	-1	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	LEUCADIA ASSET MANAGEMENT LLC	Nov 7, 2007	Oct 19, 2007	-19	Firm change	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Mar 28, 2011 to presentfactForm ADV
→ LEUCADIA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Oct 19, 2007 to Mar 29, 2011factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Nov 7, 2007factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Jul 18, 2002 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.