Best Investors Account Sign in

Alan Burke Sullivan

Charles Schwab & Co., Inc.

Wayzata, MN

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-09-20
TX RA APPROVED 2021-09-17
  • MN RA
    APPROVED
    Since 2024-09-20
  • TX RA
    APPROVED
    Since 2021-09-17

Branch Locations

130 Lake Street West Floor 01, Wayzata, MN 55391-1599 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Wayzata MN 12/2018 Present
Enterprise Holdings Plano TX 06/2016 11/2018
Charles Schwab Bank, Ssb Wayzata MN 09/2024 Present
  • 12/2018 → Present
    Charles Schwab & Co., Inc.
    Wayzata, MN
  • 06/2016 → 11/2018
    Enterprise Holdings
    Plano, TX
  • 09/2024 → Present
    Charles Schwab Bank, Ssb
    Wayzata, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-17
S63 Uniform Securities Agent State Law Examination 2019-07-15
  • S66 Uniform Combined State Law Examination
    2021-09-17
  • S63 Uniform Securities Agent State Law Examination
    2019-07-15
Other Names
  • Alan Sullivan

View on SEC IAPD

Other Firms

MORGAN STANLEY
LARSON FINANCIAL GROUP, LLC
EDWARD JONES
WALLEYE CAPITAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
GARDA CAPITAL PARTNERS
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
LPL FINANCIAL LLC

Other Investors

JOSEPH ANTHONY DELMONICO
GREGORY CHARLES RIELAND
BRIAN JEROME WARPINSKI
JEAN PAUL PRENEVOST
ESTELLA MORA ECKART
JESSICA ROSE HINDERMANN
Keighley J Spott
GREGORY PAUL OLSON

Other Offices

MORGAN STANLEY · Wayzata, MN
LARSON FINANCIAL GROUP, LLC · Wayzata, MN
EDWARD JONES · Wayzata, MN
WALLEYE CAPITAL LLC · WAYZATA, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WAYZATA, MN
GARDA CAPITAL PARTNERS · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA , MN

More in Wayzata, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor