James Daniel Sullivan

Current Employers

Employment History

• 05/2011 → Present
  Lpl Financial, Llc
  Morristown, NJ
• 05/2011 → Present
  Private Advisor Group, Llc
  Morristown, NJ
• 09/2020 → Present
  Pag Financial, Llc
  Morristown, NJ

Other Businesses

1. 2/15/2012 - Private Advisor Group - Registered Investment Advisor - Private Advisor Group - - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - (Hybrid) Wrap fees on assets, financial plans. - 10% TIME SPENT. 2. 8/3/2017 - Private Advisor Group - Investment related - At reported business location(s) - Registered Investment Advisor - started 05/09/2011 - 80 Hours Per Month/65 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 8/3/2017. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 12/27/2017 -Private Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2014 - 40 Hours Per Month / 30 Hours During Trading. 4. 11/3/2020 - PAG Holdings, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 8/18/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Holding company for PAG Financial, LLC and Private Advisor Group, LLC. 5. 4/16/2021 - PAG Financial, LLC - Investment Related - At Reported Business Location(s) - Other-Limited Purpose Broker/Dealer to collect B - General Securities Principal - Started 08/18/2020 - 5 Hours Per Month/0 Hours During Securities Trading 6. 08/02/2023 - ICUP Enterprises, LLC - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 01/02/2017 - 0 Hours Per Month/ During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-04-01
• S63 Uniform Securities Agent State Law Examination
  1994-12-05