SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
Legal name: SULLIVAN & SERWITZ
CRD #106029 SEC #801-40244 LOS ALTOS, CA 650-949-2221
SEC Registered Disclosures
Total AUM
$527M
Discretionary
$0
Employees
6
Clients
101
Accounts
605
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 12, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SERWITZ, MARSHALL, DAVID | I | CHAIRMAN | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
| SULLIVAN, ROBERT, JOSEPH | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | D | Control |
Registrations
Federal
IA
Jun 12, 2012 REGISTERED
Notice Filings (7)
CA FL IL LA NV OR TX
Address
779 ALTOS OAKS DRIVELOS ALTOS, CA 94024
United States
Phone: 650-949-2221