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Robert Joseph Sullivan

SULLIVAN & SERWITZ INVESTMENT ADVISORS INC·LOS ALTOS, California
Series 1, Series 7, Series 24, Series 6322 years registeredSULLIVAN & SERWITZ INVESTMENT ADVISORS INC
779 ALTOS OAKS DRIVE, LOS ALTOS, CA 94024CRD# 855582Firm CRD# 106029

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Robert Joseph Sullivan · LOS ALTOS, CA
Registration
CRD #855582 · SULLIVAN & SERWITZ INVESTMENT ADVISORS INC · 22 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
Mar 2004 – Sep 2020
LOS ALTOS, CA
02

Registrations & Exams

FINRA examinations passed
Series 1
Series 7
Series 24
Series 63
Registration record
First registered · March 3, 2004
Years registered · 22
03

Disclosure History

1980Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

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 Robert Joseph Sullivan offer?
Robert Joseph Sullivan specializes in Financial Planning, Investment Management.
What are Robert Joseph Sullivan's credentials?
Robert Joseph Sullivan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Robert Joseph Sullivan located?
Robert Joseph Sullivan is based in LOS ALTOS, California, last registered with SULLIVAN & SERWITZ INVESTMENT ADVISORS INC.
How does Robert Joseph Sullivan charge for services?
Robert Joseph Sullivan'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

Marshall David Serwitz
LOS ALTOS, CA

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