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Joseph Ferris Sullivan

Schwab Wealth Advisory, Inc.

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About Joseph Ferris Sullivan

Joseph Ferris Sullivan is a financial advisor with over 10 years of experience in the financial services industry. Joseph is currently registered with Schwab Wealth Advisory, Inc. Joseph has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, and NYLIFE Securities LLC. Joseph has passed the Series 6, 7, 63, and 66 examinations. Joseph is a Certified Financial Planner. Joseph has a broad range of experience and specializes in working with individual clients, businesses, and retirement planning.

Firm Information

Joseph Sullivan is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Joseph Sullivan’s Registration & Firm History

FL

05/15/2015 - Present

Schwab Wealth Advisory, Inc. (ORLANDO FL)

FL

06/23/2014 - 03/05/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HEATHROW FL)

FL

03/13/2014 - 05/27/2014

WELLS FARGO ADVISORS, LLC (WINTER PARK FL)

MS

12/07/2011 - 08/05/2013

NYLIFE SECURITIES LLC (RIDGELAND MS)

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Licenses & Designations

BOTH

Issued 08/01/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/22/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/09/2014

Series 7 - General Securities Representative Examination

BC

Issued 12/06/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Joseph Ferris Sullivan.
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