Mark A. Sullivan
Professional summary
Mark Andrew Sullivan, who also goes by Mark Sullivan, is a registered financial professional currently at LYNX CAPITAL, LLC located in Moraga, California.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 13 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2023 - Present
LYNX CAPITAL, LLC
Office #1: 55 Parson Brown Ct., Moraga, CA 94556February 18, 2022 - December 5, 2023
SUPERVISION PARTNERS LLC
May 19, 2020 - February 4, 2022
ELEVATION, LLC
October 26, 2017 - September 19, 2019
FORESIDE FUND SERVICES, LLC
September 18, 2015 - July 3, 2017
ULTIMUS FUND DISTRIBUTORS, LLC
May 8, 2012 - October 25, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
December 14, 2005 - April 17, 2012
SANFORD C. BERNSTEIN & CO., LLC
October 31, 2002 - March 15, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 4, 2001 - September 13, 2002
QUASAR DISTRIBUTORS, LLC
January 12, 2000 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
January 4, 1999 - August 30, 1999
FORESIDE FUNDS DISTRIBUTORS LLC
June 16, 1998 - December 31, 1998
FPS BROKER SERVICES, INC.
September 8, 1995 - June 10, 1996
NICHOLAS-APPLEGATE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/6/2023)
(12/6/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
LYNX CAPITAL, LLC
CRD#: 137178 / SEC#: , 8-67068
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTZ, THEODORE JOHN | PRESIDENT/CCO | 2333618 |
| MORGAN, WILLIAM ARTHUR | FINOP |
Red Flags
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Company Information
LYNX CAPITAL, LLC
CRD#: 137178Moraga, CA 94556TRUST BUT VERIFY
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