Mark C. Sullivan

CLINTON INVESTMENT MANAGEMENT

STAMFORD, CT 06902

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CRD#: 4989516

Professional summary

Mark Charles Sullivan, who also goes by Mark Charles Sullivan, Mark Sullivan, is a registered financial advisor currently at CLINTON INVESTMENT MANAGEMENT, LLC located in Stamford, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Charles Sullivan | 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) - RIA

Click below to view Mark Charles 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

July 31, 2019 - Present

CLINTON INVESTMENT MANAGEMENT, LLC

Office #1: 333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

RIA

CRD#: 143599

STAMFORD, CT

Past

April 4, 2017 - July 9, 2019

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

BOSTON, MA

Past

August 19, 2014 - October 21, 2016

BHA SELECT NETWORK, LLC

CRD#: 168883

Boston, MA

Past

July 14, 2005 - November 22, 2013

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

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".

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(7/31/2019)

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: 7/31/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/6/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/18/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/2016

General Securities Principal Examination

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

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Contact information

Main Address

333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

Mailing Address

Phone number

(203) 276-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLINTON INVESTMENT MANAGEMENT FORM ADV PART 2A BROCHURE MARCH 20, 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,846
AUM (Assets Under Management)	$ 3,531,162,064

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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Firm Stability Insights

Mark C. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

BHA SELECT NETWORK, LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

CLINTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2019

Series 63

Date: 9/9/2005

SIE

Date: 10/1/2018

Series 3

Date: 8/6/2015

Series 7

Date: 3/18/2008

Series 6

Date: 7/13/2005

Series 24

Date: 6/14/2016

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLINTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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