Richard L. Simpson

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CRD#: 1199048

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.

Richard Lee Simpson, who also goes by Rick Simpson, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Simpson

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®

None

Experience

Past

September 9, 2011 - June 22, 2017

SWBC INVESTMENT ADVISORY SERVICES LLC

RIA

CRD#: 156155

AUSTIN, TX

Past

August 25, 2010 - September 14, 2011

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

August 16, 2010 - September 30, 2011

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

SAN ANTONIO, TX

Past

January 1, 2007 - August 2, 2010

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

CLEVELAND, OH

Past

January 1, 2007 - July 29, 2010

STANCORP EQUITIES, INC.

CRD#: 19517

INDEPENDENCE, OH

Past

February 4, 2003 - January 1, 2007

INVESMART ADVISORS INC

RIA

CRD#: 108731

CLEVELAND, OH

Past

January 25, 2001 - January 1, 2007

INVESMART SECURITIES, LLC

CRD#: 104168

WESTLAKE, OH

Past

January 3, 1997 - July 13, 1999

ONE ORCHARD EQUITIES, INC.

CRD#: 42124

GREENWOOD VILLAGE, CO

Past

November 22, 1983 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

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".

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 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

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/21/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/13/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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Contact information

Main Address

900 South Capital Of Texas Ste 155, Austin, TX 78746

Mailing Address

Phone number

(512) 807-2606

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SWBC RETIREMENT PLAN SERVICES FORM ADV PART 2A (3/30/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Richard L. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

INVESMART ADVISORS INC

INVESMART SECURITIES, LLC

ONE ORCHARD EQUITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

SWBC INVESTMENT ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 11/21/1996

Series 7

Date: 12/14/2000

Series 6

Date: 11/21/1983

Series 26

Date: 12/13/1996

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SWBC INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

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