John Lawrence Sullivan

CRD 4811568 · Charles Schwab & Co., Inc. · Austin, TX

IA RegisteredBroker

Also appears in the source record as: John Lawrence Sullivan III; John Sullivan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 10Series 9Series 51Series 24Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Austin, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Austin, TX · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Austin, TX · IA capacity

start not retrieved → present
Usaa Investment Services Company
San Antonio, TX · IA capacity

Jan 8, 2018 → Jun 12, 2020
Usaa Financial Advisors, Inc.
San Antonio, TX · BC capacity

Sep 25, 2007 → Jun 11, 2020
Usaa Financial Planning Services
San Antonio, TX · IA capacity

Oct 26, 2007 → Jan 8, 2018
Usaa Investment Management Company
San Antonio, TX · BC capacity

Sep 14, 2006 → Oct 22, 2007
Ubs Financial Services Inc.
Corpus Christi, TX · IA capacity

Aug 30, 2004 → Nov 17, 2005
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Aug 6, 2004 → Nov 17, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4811568 ↗ FINRA BrokerCheck record for CRD 4811568 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.