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Mark Charles Sullivan

Clinton Investment Management, LLC

Stamford, CT

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Current Employers
Clinton Investment Management, Llc

333 Ludlow Street South Tower, 8Th Floor, Stamford, CT 06902 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-07-31
  • CT RA
    APPROVED
    Since 2019-07-31

Branch Locations

333 Ludlow Street South Tower, 8Th Floor, Stamford, CT 06902 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bha Select Network, Llc Southborough MA 07/2014 11/2016
Brighton House Associates, Llc Southborough MA 07/2014 11/2016
Wells Fargo Funds Distributor, Llc Boston MA 03/2017 07/2017
Unemployed Hanover MA 11/2016 03/2017
Clinton Investment Management Stamford CT 07/2017 Present
  • 07/2014 → 11/2016
    Bha Select Network, Llc
    Southborough, MA
  • 07/2014 → 11/2016
    Brighton House Associates, Llc
    Southborough, MA
  • 03/2017 → 07/2017
    Wells Fargo Funds Distributor, Llc
    Boston, MA
  • 11/2016 → 03/2017
    Unemployed
    Hanover, MA
  • 07/2017 → Present
    Clinton Investment Management
    Stamford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-07-31
S63 Uniform Securities Agent State Law Examination 2005-09-09
  • S65 Uniform Investment Adviser Law Examination
    2019-07-31
  • S63 Uniform Securities Agent State Law Examination
    2005-09-09
Other Names
  • Mark Charles Sullivan
  • Mark Sullivan

View on SEC IAPD

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