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MS

Matthew D. Sullivan

LUCID CAPITAL MARKETS
New York, NY 10006
Some features on this profile are disabled
CRD#: 2643274
MS

Professional summary

Matthew David Sullivan, who also goes by Matthew D Sullivan, Matthew David Sullivan, Matthew Sullivan, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2005. Matthew has worked at 13 firms and has passed the SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew D Sullivan | Matthew David Sullivan | Matthew 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) - BD

Click below to view Matthew David 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

November 17, 2025 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006
BD
CRD#: 140345
New York, NY
Past

April 29, 2024 - September 2, 2025

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

February 2, 2024 - May 8, 2024

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
New York, NY
Past

February 2, 2024 - May 8, 2024

ONE GROWTH SECURITIES LLC

BD
CRD#: 310890
NEW YORK , NY
Past

January 19, 2024 - May 8, 2024

DRIVEWEALTH, LLC

BD
CRD#: 165429
New York, NY
Past

December 1, 2021 - January 25, 2022

WEBULL FINANCIAL LLC

BD
CRD#: 289063
New York, NY
Past

January 19, 2017 - October 4, 2019

ANOS CAPITAL, LLC

BD
CRD#: 284714
NEW YORK, NY
Past

September 19, 2012 - October 7, 2016

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
NEW YORK, NY
Past

October 6, 2010 - September 14, 2012

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

October 31, 2007 - August 30, 2010

NOVA CAPITAL MARKETS, LLC

BD
CRD#: 32694
WEST CONSHOHOCKEN, PA
Past

July 3, 2007 - November 2, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

April 26, 2005 - June 4, 2007

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

April 25, 2005 - April 26, 2005

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/22/2005
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10006

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