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Stephen Sullaway

Wells Fargo Advisors
46 Years of Experience
La Jolla, CA
2 DisclosuresBroker
View SEC Summary
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Stephen Sullaway is a registered investment advisor at Wells Fargo Advisors, based in La Jolla, CA, with 46 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4242 advisors
IM Fee
Planning only
Assets Under Management
$252.3B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

4225 Executive Square Suite 570, [Satellite], La Jolla, CA, 92037

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2008
Settled
Customer Dispute
November 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen serves as a co-trustee for a family trust since January 2024. This investment-related activity requires minimal time.

Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
September 2023 - Present · 3 yrs 1 mo
Wells Fargo Advisors
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
March 2007 - September 2023 · 16 yrs 6 mos
Wells Fargo Clearing Services, LLC
March 2007 - September 2023 · 16 yrs 6 mos
UBS Financial Services INC.
July 1997 - April 2007 · 9 yrs 9 mos
UBS Financial Services INC.Broker
January 1995 - April 2007 · 12 yrs 3 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1989 - January 1995 · 5 yrs 3 mos
Shearson Lehman Hutton INC.Broker
June 1982 - October 1989 · 7 yrs 4 mos
Paine, Webber, Jackson & Curtis INC.Broker
September 1980 - July 1982 · 1 yr 10 mos
State Registrations15 states
AZCAFLGAIDMONENMNYORSCTNTXVAWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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