Mark P. Sullivan

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CRD#: 1243538

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Patrick Sullivan was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 6, 2011 - April 3, 2024

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

January 6, 1999 - April 3, 2024

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

September 1, 1998 - January 13, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 5, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

January 15, 1992 - August 27, 1997

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

November 25, 1991 - January 8, 1992

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

February 27, 1989 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

Past

December 18, 1987 - February 24, 1989

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

Past

February 29, 1984 - October 14, 1987

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

Past

February 28, 1984 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark P. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

CALAMOS FINANCIAL SERVICES LLC

FIRST TRUST PORTFOLIOS L.P.

CLAYTON BROWN & ASSOCIATES, INC.

FIDELITY DISTRIBUTORS CORPORATION

CLAYTON BROWN & ASSOCIATES, INC.

CLAYTON BROWN & ASSOCIATES, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/1993

Series 63

Date: 5/29/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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