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MS

Mark L. Sullivan

Some features on this profile are disabled
CRD#: 2531982
MS

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 Lawrence Sullivan, who also goes by Mark Sullivan, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
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

December 19, 2024 - March 11, 2026

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.

BD
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

BD
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.

BD
CRD#: 7506
NEW YORK, NY
Past

May 7, 1996 - October 9, 1997

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

June 15, 1995 - August 25, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 23, 1995 - February 10, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
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".
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1995
General Securities Representative Examination

Current Firm

PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

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
47

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/17/2025)

Regulatory assets under management

Total Number of Accounts5,638
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.

Company Information

PROCYON

CRD#: 288239

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