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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

John Lawrence Sullivan

Advisor at SCHWAB WEALTH ADVISORY, INC.

SAN FRANCISCO, CA | Austin, TX

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Search this name across graphsid dfx:ria:b244259f-7250-6839-2404-ae29a23bfd1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 30, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 27, 2004
First registration: Aug 30, 2004
Dual registered: yes, broker-dealer
Other names: JOHN SULLIVAN|JOHN LAWRENCE SULLIVAN|John Lawrence Sullivan
IAPD individual key: 4811568

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Oct 14, 2025	n/a	yes	Austin, TX\|SAN FRANCISCO, CA	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	Jun 12, 2020	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Oct 26, 2007	Jan 8, 2018	no	SAN ANTONIO, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Sep 14, 2006	Oct 22, 2007	no	SAN ANTONIO, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 30, 2004	Nov 17, 2005	no	CORPUS CHRISTI, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USAA INVESTMENT SERVICES COMPANY	SCHWAB WEALTH ADVISORY, INC.	Jun 12, 2020	Oct 14, 2025	1,950	Firm change after gap	Other
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
USAA INVESTMENT SERVICES COMPANY	USAA FINANCIAL PLANNING SERVICES	Oct 22, 2007	Oct 26, 2007	4	Firm change	Other
UBS FINANCIAL SERVICES INC.	USAA INVESTMENT SERVICES COMPANY	Nov 17, 2005	Sep 14, 2006	301	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
5475:159035:TX:2020-05-24	Jun 12, 2020	Oct 14, 2025	SAN ANTONIO, TX	Firm change after gap

Relationships

Registered with (4)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Oct 14, 2025 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to Jun 12, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 26, 2007 to Jan 8, 2018factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 30, 2004 to Nov 17, 2005factForm ADV

Dated events

No dated event names this entity yet.