HOWARD SUSSMAN
Vice President – Advisory Services
Since 1998, Howard has had experience working with families and business owners in the areas of financial planning, investments, estate planning and asset protection. During his earlier professional life, Howard worked as a Staff Attorney with the United States Securities and Exchange Commission where he conducted investigations and litigated potential violations of the federal securities laws. Howard is responsible for assisting clients with their financial planning and service needs as well as assisting the firm with various compliance and regulatory matters.
| Yeshiva University, Benjamin N. Cardozo School of Law Degree: Juris Doctor | 1990 |
| New York University, Washington Square University College Degree: Bachelor of Arts – Political Science | 1987 |
| • | Certified Financial Planner | 2005-Present |
| • | Juris Doctor, Admitted to the Practice of Law in the State of New York | 1991-Present |
| • | Financial Planning Association: Member | 2005-Present |
| • | Assessed the needs of high net worth individuals and provided advice and education regarding investments, financial planning and asset protection | ||
| • | Served as a staff attorney with the Enforcement Division of the United States Securities and Exchange Commission (SEC) | ||
| o | Investigated and litigated violations of the federal securities laws | ||
| o | Conducted formal investigations of the federal securities laws, including issuing subpoenas and taking investigative testimony of witnesses | ||
| o | Conducted depositions, drafted legal briefs and prepared winning summary judgment motions | ||
| o | Reviewed public filings and offering documents in connection with SEC investigations and litigation | ||
| • | Vice President of Advisory Services, Sullivan & Serwitz, Los Altos, CA | 2009-Present |
| • | Manager of Advisory Services, Sullivan & Serwitz, Los Altos, CA | 2006-2008 |
| • | Vice President - Financial Consultant, Charles Schwab & Co., Inc., Menlo Park, CA | 1999-2006 |
| • | Financial Planner, Premier Financial Group, San Francisco, CA | 1998-1999 |
| • | Staff Attorney, United States Securities and Exchange Commission, Division of Enforcement, Northeast Regional Office, New York, NY | 1990-1997 |