John L. Sullivan

SCHWAB WEALTH ADVISORY

Austin, TX 78758

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CRD#: 4811568

Professional summary

John Lawrence Sullivan III, CFP®, who also goes by John Lawrence Sullivan III, John Sullivan, John Lawrence Sullivan, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Austin, Texas and CHARLES SCHWAB & CO., INC. located in Austin, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Lawrence Sullivan Iii | John Sullivan | John Lawrence Sullivan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lawrence Sullivan III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

October 14, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 11800 Schwab Way, Austin, TX 78758

RIA

CRD#: 159035

Austin, TX

Current

June 2, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 11800 Schwab Way, Austin, TX 78758

RIA

CRD#: 5393

Austin, TX

Past

June 2, 2021 - October 14, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

January 8, 2018 - June 12, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

October 26, 2007 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

September 25, 2007 - June 11, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

September 14, 2006 - October 22, 2007

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

September 14, 2006 - October 22, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

August 30, 2004 - November 17, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORPUS CHRISTI, TX

Past

August 6, 2004 - November 17, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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.

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

Alabama
(6/2/2021)

Alaska
(6/2/2021)

Arizona
(6/2/2021)

Arkansas
(6/2/2021)

California
(6/2/2021)

Colorado
(6/2/2021)

Connecticut
(6/2/2021)

Delaware
(6/2/2021)

District of Columbia
(6/2/2021)

Florida
(6/2/2021)

Georgia
(6/2/2021)

Hawaii
(6/2/2021)

Idaho
(6/2/2021)

Illinois
(6/2/2021)

Indiana
(6/2/2021)

Iowa
(6/2/2021)

Kansas
(6/2/2021)

Kentucky
(6/2/2021)

Louisiana
(6/2/2021)

Maine
(6/2/2021)

Maryland
(6/2/2021)

Massachusetts
(6/2/2021)

Michigan
(6/2/2021)

Minnesota
(6/2/2021)

Mississippi
(6/2/2021)

Missouri
(6/2/2021)

Montana
(6/2/2021)

Nebraska
(6/2/2021)

Nevada
(6/2/2021)

New Hampshire
(6/2/2021)

New Jersey
(6/2/2021)

New Mexico
(6/2/2021)

New York
(6/2/2021)

North Carolina
(6/2/2021)

North Dakota
(6/2/2021)

Ohio
(6/3/2021)

Oklahoma
(6/2/2021)

Oregon
(6/2/2021)

Pennsylvania
(6/2/2021)

Puerto Rico
(6/2/2021)

Rhode Island
(6/2/2021)

South Carolina
(6/2/2021)

South Dakota
(6/2/2021)

Tennessee
(6/2/2021)

Texas
(6/2/2021)

IAR

Texas
(10/14/2025)

Utah
(6/2/2021)

Vermont
(6/2/2021)

Virgin Islands
(6/2/2021)

Virginia
(6/2/2021)

Washington
(6/2/2021)

West Virginia
(6/2/2021)

Wisconsin
(6/2/2021)

Wyoming
(6/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/25/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/2/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 51

Date: 8/3/2012

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/29/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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.

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Advisor Monitoring

Firm Stability Insights

John L. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lawrence Sullivan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/5/2004

Series 10

Date: 6/25/2022

Series 9

Date: 4/2/2022

Series 51

Date: 8/3/2012

Series 24

Date: 6/29/2010

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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