Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Sullivan is a financial advisor with over 16 years of experience in the financial services industry. Mark has a wide range of experience, having previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Mark is currently a Registered Representative with Wells Fargo Clearing Services, LLC. Mark has a strong track record of providing personalized financial advice and investment management services to a diverse clientele. Mark is committed to building long-term relationships with clients and helping them achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
07/01/2015 - Present
Wells Fargo Clearing Services, LLC (SEATTLE WA)
OK
11/30/2011 - 06/29/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OKLAHOMA CITY OK)
OK
06/01/2009 - 12/23/2011
MORGAN STANLEY SMITH BARNEY (OKLAHOMA CITY OK)
OK
04/25/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OKLAHOMA CITY OK)
WA
02/15/2007 - 03/17/2008
CITIGROUP GLOBAL MARKETS INC. (BELLEVUE WA)
BOTH
Issued 05/25/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/07/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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