Joseph Sullivan, financial advisor Orlando FL
78 score

Joseph Sullivan

CRD 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 4 years of experience in the finance industry.

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Company Name Location Dates Years
Uber San Francisco, CA Apr 2016 - Current < 1
Charles Schwab & Company, Inc. Orlando, FL Apr 2015 - Current 1
Schwab Private Client Investment Advisory, Inc. Orlando, FL Apr 2015 - Current 1
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Joseph F. Sullivan
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    67,823
    MILLIONS
  • Total Number of Accounts
    155,246
    ACCOUNTS
  • Average Account Value
    $436,876
Compensation Options
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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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BADGES
78

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