John Sullivan is a registered investment advisor at Moors & Cabot, INC, based in Boston, MA, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 5,074 clients with $3.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Moors & Cabot charges an annual fee based on a percentage of your portfolio, billed quarterly. The exact percentage is negotiable and depends on factors like account size and complexity. The minimum fee rate is 0.5% and the maximum is 1.5%, unless approved by senior management. Moors & Cabot may aggregate multiple accounts to determine fee breakpoints. They also offer an "Advice Only" service for assets held elsewhere, billed quarterly in advance.
Location
One Federal Street, 19th Floor, Boston, MA, 02110
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Moors & Cabot, INC
Moors & Cabot, INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Winslow, Evans & Crocker, INC.Broker
Moors & Cabot, INC.Broker
Collins Stewart INC.Broker
Tullett Liberty Securities INC.Broker
Burlington Capital Markets INC.Broker
Gerard Klauer Mattison & CO., INC.Broker
Tucker Anthony IncorporatedBroker
First Union Securities, INC.Broker
First Union Capital Markets CORP.Broker
Tucker Anthony IncorporatedBroker
Fahnestock & CO., INC.Broker
New York & Foreign Securities CorporationBroker
Cibc Wood Gundy Securities CORP.Broker
Tucker, Anthony & R. L. Day, INC.Broker
Mki Securities CORP.Broker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.