SULLIVAN & SERWITZ ⚠ Disclosure events INACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 106029
- Firm name
- SULLIVAN & SERWITZ
- Other names / DBAs
- SULLIVAN & SERWITZ; SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
- IA scope
- INACTIVE
- SEC IA file
- 801-40244
- Branches
- 0
- Disclosure events
- YES
- HQ
- LOS ALTOS, CA, 94024, United States
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