Mark L. Sullivan

PROCYON

Bethlehem, PA

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CRD#: 2531982

Professional summary

Mark Lawrence Sullivan, who also goes by Mark Sullivan, is a registered financial advisor currently at PROCYON located in Bethlehem, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark 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.

Insurance Sales; Investment-related; Same Address; Individual Capacity; Approximately 10% of time during the month. Fritch, Inc.; Not investment-related; 116 River St. Bethlehem, PA 18018; HVAC contractor; Consultant; Since 01/2023; Less than 10% of time per month; Consult on financing options

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence 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

December 19, 2024 - Present

PROCYON

RIA

CRD#: 288239

Bethlehem, PA

Past

November 30, 2015 - August 23, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

November 30, 2015 - August 23, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

September 16, 2008 - December 21, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

NEW YORK, NY

Past

September 16, 2008 - December 21, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 9, 2005 - September 24, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEW YORK, NY

Past

October 24, 1997 - September 24, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 7, 1996 - October 9, 1997

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

June 15, 1995 - August 25, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 23, 1995 - February 10, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 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

Connecticut
(12/19/2024)

IAR

Pennsylvania
(1/30/2025)

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: 5/17/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1994

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: 1/21/1995

General Securities Representative Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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 L. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

NEEDHAM & COMPANY, LLC

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2022

Series 63

Date: 12/21/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1995

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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