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Rodrick Kevin Sullivan

Rodrick K. Sullivan

SCHWAB WEALTH ADVISORY
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 6414948
Rodrick Kevin Sullivan

Professional summary

Rodrick Kevin Sullivan, CFP®, who also goes by Rodrick Sullivan, Rick Sullivan, Rod Sullivan, Rodrick Kevin Sullivan, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Atlanta, Georgia and CHARLES SCHWAB & CO., INC. located in Atlanta, Georgia.

Rodrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Rodrick has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rodrick Sullivan | Rick Sullivan | Rod Sullivan | Rodrick Kevin 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 Rodrick Kevin Sullivan'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

Start date: 2022

Experience

Current

July 31, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3424 Peachtree Road, Ne Suite 1750, Atlanta, GA 30326
RIA
CRD#: 159035
Atlanta, GA
Current

July 30, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3424 Peachtree Road Ne Suite 1750, Atlanta, GA 30326
RIA
BD
CRD#: 5393
Atlanta, GA
Past

April 22, 2022 - July 16, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
MCDONOUGH, GA
Past

March 16, 2022 - July 16, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MCDONOUGH, GA
Past

March 21, 2019 - March 23, 2022

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
ATLANTA, GA
Past

January 8, 2019 - March 23, 2022

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
ATLANTA, GA
Past

April 20, 2017 - January 11, 2019

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
CONYERS, GA
Past

April 8, 2015 - February 6, 2017

NYLIFE SECURITIES LLC

BD
CRD#: 5167
ATLANTA, GA

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".
SW
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.
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
Georgia
(7/30/2025)
IAR
Georgia
(7/31/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/20/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/8/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Atlanta, GA 30326

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