Mark B. Sullivan
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 Bishop Sullivan was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1985. Mark had worked at 10 firms and has passed the Series 66, Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2017 - May 4, 2021
BROOKWOOD SECURITIES PARTNERS, LLC
July 10, 2015 - February 28, 2017
KEELEY INVESTMENT CORP.
January 24, 2011 - December 16, 2014
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
May 8, 2009 - March 11, 2010
BARINGS SECURITIES LLC
December 19, 2006 - March 30, 2009
U.S. BANCORP INVESTMENTS, INC.
April 28, 2006 - July 26, 2007
QUASAR DISTRIBUTORS, LLC
March 6, 2006 - March 31, 2009
U.S. BANCORP ASSET MANAGEMENT, INC.
September 9, 2000 - August 24, 2004
BANC ONE INVESTMENT ADVISORS CORP
July 16, 1986 - July 16, 1986
GREENTREE SECURITIES CORP.
June 19, 1985 - January 23, 1986
BUNKER SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKWOOD SECURITIES PARTNERS, LLC
CRD#: 35187 / SEC#: , 8-46627
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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