CS
Christopher J. Sullivan
CETERA INVESTMENT ADVISERS LLC
SPOKANE VALLEY, WA 99212
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CRD#: 4201885
CS
Professional summary
Christopher John Sullivan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spokane Valley, Washington and CETERA ADVISORS LLC located in Spokane Valley, Washington.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START JANUARY 2015, 3 HOURS PER WEEK - VARIES DURING TRADING (2) NAME OF OTHER BUSINESS: BCH FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 11/2017; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (3) NAME OF OTHER BUSINESS: BCH CONSULTING GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BUSINESS CONSULTING; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: OWNER / CONSULTANT; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: CONSULTING IN AREAS OF BUSINESS DEVELOPMENT, ACQUISITION & SUCCESSION, NETWORK RELATIONSHIP MANAGEMENT; (4) NAME OF OTHER BUSINESS: CORE FINANCIAL GROUP ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES DBA ; START DATE: 03/2020 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR ; APX NUMBER OF HOURS PER WEEK: 40+ ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING FOR INDIVIDUALS AND CORPORATIONS ;
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 920 N Argonne Rd Ste 204, Spokane Valley, WA 99212RIA
CRD#: 105644
SPOKANE VALLEY, WA
Current
February 28, 2012 - Present
CETERA ADVISORS LLC
Office #1: 420 N Evergreen Rd Suite 500, Spokane Valley, WA 99216BD
CRD#: 10299
Spokane Valley, WA
Past
February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Spokane Valley, WA
Past
June 2, 2005 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
June 1, 2005 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
SPOKANE VALLEY, WA
Past
July 27, 2004 - June 1, 2005
KOVACK SECURITIES INC.
RIA
CRD#: 44848
SPOKANE VALLEY, WA
Past
March 26, 2004 - June 1, 2005
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
November 24, 2003 - March 29, 2004
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
SPOKANE VALLEY, WA
Past
November 24, 2003 - March 29, 2004
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
August 9, 2002 - November 24, 2003
METROPOLITAN FINANCIAL SERVICES, INC.
RIA
CRD#: 116602
SPOKANE, WA
Past
July 2, 2002 - November 24, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
BD
CRD#: 14146
SPOKANE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/3/2025)
RR
Arizona(7/14/2023)
RR
California(11/16/2016)
RR
Florida(6/2/2021)
RR
Hawaii(11/29/2019)
RR
Idaho(2/28/2012)
RR
Montana(11/16/2017)
RR
Oregon(11/16/2017)
RR
Washington(2/28/2012)
IAR
Washington(3/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
