Joseph Sullivan
Joseph Sullivan is a CFP-designated registered investment advisor at Schwab Wealth Advisory, INC., based in Edgewater, FL, with 13 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Schwab Wealth Advisory does not charge investment management fees directly; instead, program fees are handled through its affiliate sponsor, Charles Schwab & Co., and are detailed in separate program disclosure materials. The program generally requires a minimum investment of $500,000 to participate.
Location
Edgewater, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joseph is self-employed as a DJ, musician, and trivia night host in Edgewater, Florida, since 2022. This takes about 10-20% of his time and does not occur during securities trading hours.
Employment History
Current Registrations
Schwab Wealth Advisory, INC.
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Charles Schwab & CO., INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wells Fargo Advisors, LLCBroker
Nylife Securities LLCBroker
State Registrations24 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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