Mark C. Sullivan

MOUNT VERNON ASSOCIATES

BALTIMORE, MD 21209

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CRD#: 1302578

Professional summary

Mark Carlson Sullivan, who also goes by Sully Sullivan, is a registered financial advisor currently at MOUNT VERNON ASSOCIATES INC located in Baltimore, Maryland.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Mark has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sully Sullivan

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) - RIA

Click below to view Mark Carlson Sullivan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 31, 1994 - Present

MOUNT VERNON ASSOCIATES INC

Office #1: 6500 Falls Road, Baltimore, MD 21209

RIA

CRD#: 107099

BALTIMORE, MD

Past

March 2, 1992 - February 15, 1994

RUTHERFORD, BROWN & CATHERWOOD, LLC

CRD#: 10306

Past

October 25, 1984 - March 11, 1992

BURKE, LAWTON, BREWER & BURKE, LLC

CRD#: 1346

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".

MOUNT VERNON ASSOCIATES INC

CRD#: 107099 / SEC#: 801-26821

RIA

Registered Investment Advisory firm - (3/24/1986 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(3/31/1994)

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: 4/28/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/1989

General Securities Principal Examination

Current Firm

MOUNT VERNON ASSOCIATES INC

CRD#: 107099 / SEC#: 801-26821

RIA

Registered Investment Advisory firm - (3/24/1986 Approved)

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Contact information

Main Address

575 S Charles Street, Ste 401, Baltimore, MD 21201

Mailing Address

Phone number

(410) 377-9780

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 ADV 2024 (2/7/2025)

Regulatory assets under management

Total Number of Accounts	126
AUM (Assets Under Management)	$ 234,447,352

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Mark C. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Carlson Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RUTHERFORD, BROWN & CATHERWOOD, LLC

BURKE, LAWTON, BREWER & BURKE, LLC

Primary Firm SEC Registration

MOUNT VERNON ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/1992

Series 63

Date: 9/29/1984

Series 7

Date: 9/15/1984

Series 24

Date: 8/1/1989

Current Firm

MOUNT VERNON ASSOCIATES INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOUNT VERNON ASSOCIATES INC

TRUST BUT VERIFY

Contact information

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