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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

JOHN MICHAEL SULLIVAN

Advisor at J.P. MORGAN SECURITIES LLC

Sag Harbor, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2009 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: J.P. MORGAN SECURITIES LLC
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: May 22, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: May 22, 2009
First registration: Nov 19, 2009
Dual registered: yes, broker-dealer
Other names: JOHN MICHAEL SULLIVAN
IAPD individual key: 5661525

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 12, 2017	n/a	yes	Sag Harbor, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 17, 2016	Oct 13, 2017	no	Uniondale, NY\|COMMACK, NY\|East Northport, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Dec 2, 2015	no	SOUTHAMPTON, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 18, 2010	Oct 1, 2012	no	SOUTHHAMPTON, NY\|CENTER MORICHES, NY	Previous registration
OBSIDIAN WEALTH MANAGEMENT, LLC	n/a	Nov 19, 2009	Mar 24, 2010	no	WOODBURY, NY	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
CITIGROUP GLOBAL MARKETS INC.	J.P. MORGAN SECURITIES LLC	Oct 13, 2017	Oct 12, 2017	-1	Firm change	Other
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Dec 2, 2015	Aug 17, 2016	259	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
OBSIDIAN WEALTH MANAGEMENT, LLC	CHASE INVESTMENT SERVICES CORP.	Mar 24, 2010	Mar 18, 2010	-6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7059:NY:2015-12-02	Dec 2, 2015	Aug 17, 2016	SOUTHAMPTON, NY	Firm change

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Dec 2, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 17, 2016 to Oct 13, 2017factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 18, 2010 to Oct 1, 2012factForm ADV
→ OBSIDIAN WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 19, 2009 to Mar 24, 2010factForm ADV

Dated events

No dated event names this entity yet.