Joseph SullivanCRD Number: 5924401
Current Firm: Schwab Private Client Investment Advisory, Inc.
Joseph Sullivan (CRD# 5924401) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in Orlando, FL and has over 5 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Alconbury Trust L.l.c
|Uber||San Francisco, CA||Apr 2016 - Current||1|
|Charles Schwab & Company, Inc.||Orlando, FL||Apr 2015 - Current||2|
|Schwab Private Client Investment Advisory, Inc.||Orlando, FL||Apr 2015 - Current||2|
|Market Traders Institute||Lake Mary, FL||Mar 2015 - Apr 2015||< 1|
|Bank Of America, N.a.||Heathrow, FL||Oct 2014 - Feb 2015||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Heathrow, FL||May 2014 - Feb 2015||< 1|
|Wells Fargo Bank, N.a.||Winter Park, FL||Mar 2014 - May 2014||< 1|
|Wells Fargo Advisors, LLC||Winter Park, FL||Mar 2014 - May 2014||< 1|
|Unemployed||Clemmons, NC||Nov 2013 - Mar 2014||< 1|
|Brothers||Clemmons, NC||Nov 2013 - Nov 2013||< 1|
|Cities Grill And Bar||Clemmons, NC||Oct 2013 - Nov 2013||< 1|
|Unemployed||Clemmons, NC||Jul 2013 - Oct 2013||< 1|
|New York Life Insurance Company||Ridgeland, MS||May 2011 - Jul 2013||2|
|Nylife Securities LLC||Ridgeland, MS||May 2011 - Jul 2013||2|
|Mississippi State University||Starkville, MS||Aug 2010 - May 2011||< 1|
|Alliance Mktg / Brighthouse Network||Orlando, FL||May 2010 - Aug 2010||< 1|
|Mississippi State University||Starkville, MS||Nov 2009 - May 2010||< 1|
|Unemployed||Starkville, MS||Aug 2009 - Nov 2009||< 1|
|Tanblewood Park||Clemmons, NC||Jun 2009 - Aug 2009||< 1|
|Unemployed||Clemmons, NC||Aug 2007 - Jun 2009||1|
|Salem Glen Golf & Country Club||Clemmons, NC||Jun 2007 - Aug 2007||< 1|
|Smitherman's Hardware||Forsyth, NC||Mar 2006 - Jun 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2012|
|S66||NASAA Uniform Combined State Law Examination||Aug 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management67,823MILLIONS
Total Number of Accounts155,246ACCOUNTS
Average Account Value$436,876
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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