Role at Private Advisor Group
- Title on Schedule A
- Managing Director
- Control
- James Sullivan is a control person of Private Advisor Group.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- James Sullivan has held the filed role since June 2014.
The firm
Form ADV filed 30 September 2026
Career on record
James Sullivan has been registered through Private Advisor Group since February 2012.
- Passed Series 9, Series 10 and Series 99TO · 2023
- Passed SIE · 2018
- LPL Financial LLCCurrent– present · 15 yearsNew Rochelle, NY · Adviser representative and broker · Firm CRD 6413
- Passed Series 65 · 2004
- Passed Series 24 · 2002
- Passed Series 27 and Series 8 · 1998
- Passed Series 7 and Series 63 · 1994
Registrations and exams
James Sullivan has a current investment-adviser registration in New Jersey and New York and has passed 10 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| New Jersey | Investment adviser representative | Approved | 2 February 2012 |
| New York | Investment adviser representative | Approved | 14 April 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 April 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 December 1994 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 16 August 2002 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 23 December 1998 |
| Series 27 | Financial and Operations Principal Examination | 18 August 1998 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 18 November 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Financial and Operations Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- James Daniel Sullivan
- CRD
- 2550473
- Registration status
- Investment adviser and broker registrations
- Firm bio
- privateadvisorgroup.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Private Advisor Group lists James Sullivan as Managing Director, Advisor Relations. Official firm biography/team page
Common questions
Where does James Sullivan work?
James Sullivan has been Managing Director of Private Advisor Group, LLC since June 2014, and is a control person of the firm.
Is James Sullivan a financial advisor?
Yes. James Sullivan has a current investment-adviser registration in New Jersey and New York, through Private Advisor Group since February 2012, as of 17 October 2026.
How many years of experience does James Sullivan have?
James Sullivan has worked in the financial industry for 31 years as of 17 October 2026, counted from 20 November 1994, across 2 adviser firms.
What exams has James Sullivan passed?
James Sullivan has passed 10 licensing exams: the Series 7, Series 63, Series 27, Series 8, Series 24, Series 65, SIE, Series 9, Series 10 and Series 99TO. The earliest, the Series 7, was passed in November 1994.
Leadership at Private Advisor Group
- Franklin SmithChief Executive Officer
- Adam SchorrChief Financial Officer
- James PerhacsManaging Director, Chief Operating Officer
- James HooksChief Compliance Officer, Managing Director
- John HylandExecutive Chair
- Robert MooreExecutive Chair
- Patrick SullivanExecutive Chair