CS
Christopher B. Sullivan
AVANTAX PLANNING PARTNERS
Ventura, CA
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CRD#: 5801651
CS
Professional summary
Christopher Brent Sullivan II, CFP®, who also goes by Chris Sullivan, Christopher Brent Sullivan, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Ventura, California and CETERA INVESTMENT ADVISERS LLC located in Oxnard, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Christopher has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Sullivan | Christopher Brent 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.
1) SULLTRAINING POSITION: Consultant/Trainer/Coach NATURE: Lifestyle fitness coaching & consulting. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023; 290 S SATICOY AVE, VENTURA CA 93004, US; Strength training programming. Diet planning. Training performance assessment. Communicating via email One on one and group consultations via zoom, phone, and In-person. 2) RENTAL PROPERTY POSITION: Owner NATURE: I have a separate space in my home my spouse and I are considering renting. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 290 S SATICOY AVE, VENTURA CA 93004, United States DESCRIPTION: None. This will be my spouse's project entirely.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Brent Sullivan II'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®
Experience
Current
March 30, 2021 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #2: 1000 Town Center Drive Suite 200, Oxnard, CA 93036RIA
CRD#: 106237
Ventura, CA
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Town Center Drive Suite 200, Oxnard, CA 93036RIA
CRD#: 105644
OXNARD, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1000 Town Center Drive Suite 200, Oxnard, CA 93036BD
CRD#: 13572
Oxnard, CA
Past
April 11, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
OXNARD, CA
Past
January 27, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Oxnard, CA
Past
November 5, 2010 - December 2, 2011
GWN SECURITIES INC.
BD
CRD#: 128929
PALM BEACH GARDENS, FL
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
Arizona(9/5/2025)
IAR
California(3/30/2021)
RR
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Massachusetts(10/13/2025)
RR
Minnesota(9/5/2025)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
