RS
Robert P. Sullivan
HBW ADVISORY SERVICES LLC
NEWPORT BEACH, CA
Some features on this profile are disabled
CRD#: 5078203
RS
Professional summary
Robert Philip Sullivan III is a registered financial advisor currently at HBW ADVISORY SERVICES LLC located in Newport Beach, California.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2020 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY AND ANNUITIES 2. NAME OF OTHER BUSINESS: ROBERT SULLIVAN INVESTMENT RELATED: NO ADDRESS: 27041 HIDDEN TRAIL ROAD AGOURA HILLS CA NATURE OF BUSINESS: LEGAL START DATE: 2004 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: CURSORY LEGAL ADVISE AND ATTORNEY REFERRAL SERVICE 3. NAME OF OTHER BUSINESS: RAGHORN RANCH LAND & CATTLE CO LLC INVESTMENT RELATED: NO ADDRESS: 1150 BIG CREEK ROAD MAY, ID 83253 NATURE OF BUSINESS: RANCHING START DATE: 2011 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: ASSIST HORSE TRAINING AND TRANSPORTATION / ALFALFA PLANTING AND HARVEST 4. NAME OF OTHER BUSINESS: HBW PARTNERS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2018 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT 5. NAME OF OTHER BUSINESS: GOLDHORN CAPITAL MANAGEMENT LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICE RAMHORN LLC/DAPSHIRE CATTTLE RANCHING OVERSIGHT OF RANCH 1/2023, PRIVATE TRUST CORP, BOARD MEMBER, ATTENDED QUARTERLY BOARD MEETINGS
CRS (Client Relationship Summary) - RIA
Click below to view Robert Philip Sullivan III'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
August 2, 2018 - Present
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
NEWPORT BEACH, CA
Past
January 22, 2020 - April 28, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SIMI VALLEY, CA
Past
October 10, 2018 - August 1, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEWPORT BEACH, CA
Past
March 28, 2017 - January 3, 2018
ASCENDANT ALTERNATIVE STRATEGIES, LLC
BD
CRD#: 283881
WHITE PLAINS, NY
Past
January 5, 2017 - March 29, 2017
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
NEW YORK, NY
Past
June 1, 2015 - January 3, 2017
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
May 9, 2014 - December 17, 2014
FS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 145244
PHILADELPHIA, PA
Past
September 9, 2013 - April 10, 2014
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
September 5, 2012 - April 10, 2014
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
March 6, 2006 - August 1, 2012
KBS CAPITAL MARKETS GROUP LLC
BD
CRD#: 132299
NEWPORT BEACH, CA
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".
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(8/2/2018)
IAR
Montana(2/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2655 1st Street Suite 250, Simi Valley, CA 93065
Mailing Address
P.o. Box 2049, Simi Valley, CA 93062
Phone number
(800) 473-3856
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,679 |
| AUM (Assets Under Management) | $ 1,747,369,322 |
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.
