James Sullivan joined Private Advisor Group in May 2011 as a member of the compliance team. In his current role as managing director, James runs Private Advisor Group’s RIA and manages all compliance and supervision.
After graduating from college, James started his career in a full-time accounts payable position and rose through the ranks to eventually land as the controller at Stuart, Coleman & Co., Inc. When the firm merged with Investec Ernst & Co., James transitioned into the position of operations supervisor.
In 2002, James participated in a management buyout of Investec Ernst’s Private Client Group. He then went on to work for Maxim Group as the branch manager at the firm’s headquarters in the Chrysler Building in New York City. After a few years, he decided to try his luck as a sales trader on Maxim Group’s structured product trading desk.
James is married and has two daughters, both in high school. He serves on the board of his grammar school, St. Catherine–St. Therese Catholic Academy, and is an active fundraiser for his high school.
Education: BA in English, State University of New York at Albany
Registrations Held with LPL Financial: FINRA Series 7, 8, 24, 27, 63, 65