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Mark Charles Sullivan

Clinton Investment Management, LLC

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About Mark Charles Sullivan

Mark Sullivan is a financial advisor with Clinton Investment Management, LLC, based in Stamford, CT. Mark is currently registered as an Investment Advisor Representative in Connecticut. Mark previously worked at Wells Fargo Funds Distributor, LLC, BHA Select Network, LLC, and Guardian Investor Services LLC. Mark has obtained the Series 3, Series 6, Series 7, Series 24, and Series 63 licenses, and is a Series 65 licensed advisor. Mark specializes in portfolio management for individuals, businesses and investment companies.

Firm Information

Mark Sullivan is currently registered with Clinton Investment Management, LLC. Clinton Investment Management, LLC is an investment advisor based in Stamford, CT, with $2.85 billion in regulatory assets under management. The firm provides portfolio management services for individuals, businesses, and investment companies. They also offer wrap fee programs. Their client base includes high-net-worth individuals, corporations, and investment companies.
Clinton Investment Management, LLC

333 LUDLOW STREET

STAMFORD, CT 06902

$2.85B

Assets Under Management

Not reported

Total Clients

11

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Sullivan’s Registration & Firm History

CT

07/31/2019 - Present

Clinton Investment Management, LLC (STAMFORD CT)

MA

04/04/2017 - 07/09/2019

WELLS FARGO FUNDS DISTRIBUTOR, LLC (BOSTON MA)

MA

08/19/2014 - 10/21/2016

BHA SELECT NETWORK, LLC (Boston MA)

NY

07/14/2005 - 11/22/2013

GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/31/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/09/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/14/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2015

Series 3 - National Commodity Futures Examination

BC

Issued 03/18/2008

Series 7 - General Securities Representative Examination

BC

Issued 07/13/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Mark Charles Sullivan.
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