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Marshall David Serwitz

SULLIVAN & SERWITZ INVESTMENT ADVISORS INC·LOS ALTOS, California
Series 7, Series 24, Series 63Clean record34 years registeredSULLIVAN & SERWITZ INVESTMENT ADVISORS INC
779 ALTOS OAKS DRIVE, LOS ALTOS, CA 94024CRD# 1987263Firm CRD# 106029

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Marshall David Serwitz · LOS ALTOS, CA
Registration
CRD #1987263 · SULLIVAN & SERWITZ INVESTMENT ADVISORS INC · 34 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
CERITY PARTNERS LLC
Jan 2020 – Oct 2024
Los Altos, CA
SULLIVAN & SERWITZ
Apr 1992 – Sep 2020
LOS ALTOS, CA
02

Registrations & Exams

FINRA examinations passed
Series 7
Series 24
Series 63
Registration record
First registered · April 10, 1992
Years registered · 34
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
CRD 106029 · SEC 801-40244
Employees
6
Total firm employees
Services offered by SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Market timing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SULLIVAN & SERWITZ INVESTMENT ADVISORS INC →
Introduction

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05

Frequently Asked Questions

What services does Marshall David Serwitz offer?
Marshall David Serwitz specializes in Financial Planning, Investment Management.
What are Marshall David Serwitz's credentials?
Marshall David Serwitz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Marshall David Serwitz located?
Marshall David Serwitz is based in LOS ALTOS, California, last registered with SULLIVAN & SERWITZ INVESTMENT ADVISORS INC.
How does Marshall David Serwitz charge for services?
Marshall David Serwitz's firm is compensated through percentage of aum, fixed fees, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SULLIVAN & SERWITZ INVESTMENT ADVISORS INC?
SULLIVAN & SERWITZ INVESTMENT ADVISORS INC has approximately 6 employees. The firm is registered with the SEC as an investment adviser.
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Other Advisors at SULLIVAN & SERWITZ INVESTMENT ADVISORS INC

Robert Joseph Sullivan
LOS ALTOS, CA

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