# SULLIVAN & SERWITZ

> FINRA firm 106029 · INACTIVE · **⚠ HAS DISCLOSURE EVENTS** · LOS ALTOS, CA

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 106029
- **Firm name:** SULLIVAN & SERWITZ
- **Other names:** SULLIVAN & SERWITZ, SULLIVAN & SERWITZ INVESTMENT ADVISORS INC
- **Investment Adviser scope:** INACTIVE
- **SEC IA file number:** 801-40244
- **Branches:** 0
- **Has disclosure events:** YES
- **Headquarters:** LOS ALTOS, CA, 94024, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/106029

## Citation

> FINRA BrokerCheck, firm 106029 (SULLIVAN & SERWITZ). Retrieved via AI Analytics 2026-06-24 from https://api.ai-analytics.org/broker/106029.

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