Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Douglas Sullivan is a financial advisor who has been in the industry since 1993. He is currently registered with Raymond James & Associates, Inc. Mark has worked for several firms over his career, including Morgan Stanley, Credit Suisse Securities (USA) LLC, UBS Financial Services Inc. and Wachovia Securities, LLC. Mark specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors. Mark holds the Series 7, Series 31, Series 63, and Series 65 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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
GA
10/01/2021 - Present
Raymond James & Associates, Inc. (ALPHARETTA GA)
GA
07/15/2013 - 10/26/2021
MORGAN STANLEY (Atlanta GA)
GA
11/11/2010 - 07/05/2013
CREDIT SUISSE SECURITIES (USA) LLC (ATLANTA GA)
GA
07/29/2005 - 11/18/2010
UBS FINANCIAL SERVICES INC. (ATLANTA GA)
MO
09/01/2000 - 07/29/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
12/12/1996 - 09/11/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
11/04/1993 - 12/16/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 11/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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