Sullivan & Serwitz

Sullivan & Serwitz (CRD# 106029) is a financial advisory firm headquartered in Los Altos, CA. They serve the financial needs of clients across 2 states (or territories).

By the Numbers
  • Total Assets Under Management
    0
    MILLION
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
  • Subscription fees (for a newsletter or periodical)
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

CA, TX

Financial Advisors at Sullivan & Serwitz
Showing 1 - 3 of 3 top financial advisors.
1
Howard B. Sussman
CRD#: 3101096
779 Altos Oaks Drive, Los Altos, CA 94024
96
Wealthminder
score

Howard Sussman (CRD# 3101096) is an Investment Advisor Representative working at Sullivan & Serwitz in Los Altos, CA and has over 19 years of experience in the finance industry. Howard Sussman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Marshall D. Serwitz
CRD#: 1987263
779 Altos Oaks Drive, Los Altos , CA 94024
93
Wealthminder
score

Marshall Serwitz (CRD# 1987263) is an Investment Advisor Representative working at Sullivan & Serwitz in Los Altos , CA and has over 27 years of experience in the finance industry.

3
Robert J. Sullivan
CRD#: 855582
779 Altos Oaks Drive, Los Altos , CA 94024
76
Wealthminder
score

Robert Sullivan (CRD# 855582) is an Investment Advisor Representative working at Sullivan & Serwitz in Los Altos , CA and has over 35 years of experience in the finance industry. Robert Sullivan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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