ROBERT J. SULLIVAN

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CRD#: 855582

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

ROBERT JOSEPH SULLIVAN, CFP®, who also goes by Bob Sullivan, was a registered financial professional .

ROBERT is a previously registered financial professional and started their career in finance in 1978. ROBERT had worked at 10 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.

Biography

Robert is a Partner in our Los Altos office and has more than thirty years of wealth management experience. He focuses on providing affluent individuals and families with the diverse investment and financial planning solutions needed to facilitate the accumulation, growth, preservation, and transition of assets among generations. His goal is to educate clients so they can make informed decisions and act in their own best interests.

Robert joined the firm in January 2020 when Cerity Partners acquired Sullivan & Serwitz, an investment advisory firm he co-founded with Marshall Serwitz in 1989.

Question & Answer

What are your service offerings?

Tax Planning

Business Succession Planning

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Estate Planning

Are you a "fiduciary"?

Aliases

Bob 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)

The CRS(Customer Relationship Summary) document is not provided.

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: 1984

Education

San Jose State University

B.S. - Business Management

Experience

Past

January 16, 2020 - October 3, 2024

CERITY PARTNERS LLC

RIA

CRD#: 151559

Los Altos, CA

Past

March 3, 2004 - September 3, 2020

SULLIVAN & SERWITZ

RIA

CRD#: 106029

LOS ALTOS , CA

Past

May 8, 1989 - April 1, 1992

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

Past

June 1, 1988 - May 24, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - June 4, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 21, 1987 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

July 17, 1980 - January 14, 1987

BMI FINANCIAL GROUP

CRD#: 7926

Past

June 9, 1980 - August 3, 1980

RAY ESPOSITO & ASSOCIATES, INC.

CRD#: 8047

Past

February 14, 1979 - January 5, 1980

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

August 7, 1978 - March 10, 1979

DAVE FRIES AND ASSOCIATES

CRD#: 1917

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".

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 9/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1979

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/3/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/5/1979

General Securities Principal Examination

Current Firm

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

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Contact information

Main Address

99 Park Avenue 16th Floor, New York, NY 10016

Mailing Address

Phone number

(212) 850-4260

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts	19,810
AUM (Assets Under Management)	$ 122,848,693,051

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
07/24/2024	Cover Page	Report
09/28/2023	Cover Page	Report

Red Flags

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Contact information

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ROBERT J. SULLIVAN

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

San Jose State University

Experience

SULLIVAN & SERWITZ

INVESTMENT ARCHITECTS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

BMI FINANCIAL GROUP

RAY ESPOSITO & ASSOCIATES, INC.

PLANNED INVESTMENTS INC.

DAVE FRIES AND ASSOCIATES

Primary Firm SEC Registration

CERITY PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/1982

Series 7

Date: 10/20/1979

Series 1

Date: 8/3/1978

Series 24

Date: 7/5/1979

Current Firm

CERITY PARTNERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERITY PARTNERS LLC

TRUST BUT VERIFY

Contact information

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