Robert C. Swift

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CRD#: 1212588

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 Clarkson Swift JR, who also goes by Bob Swift Jr, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Swift Jr

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

August 31, 1994 - December 31, 2023

TCI WEALTH ADVISORS, INC.

RIA

CRD#: 107373

TUCSON, AZ

Past

January 26, 1990 - February 3, 1995

SECURITIES AMERICA, INC.

CRD#: 10205

Past

February 23, 1987 - March 1, 1990

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

Past

February 25, 1986 - April 14, 1987

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 22, 1983 - February 28, 1986

BOETTCHER & COMPANY, INC.

CRD#: 101

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".

TCI WEALTH ADVISORS, INC.

CRD#: 107373 / SEC#: 801-37083

RIA

Registered Investment Advisory firm - (8/30/1990 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: 9/1/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/1990

General Securities Principal Examination

Current Firm

TCI WEALTH ADVISORS, INC.

CRD#: 107373 / SEC#: 801-37083

RIA

Registered Investment Advisory firm - (8/30/1990 Approved)

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Contact information

Main Address

4011 East Sunrise Drive, Tucson, AZ 85718

Mailing Address

Phone number

(520) 733-1477

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	11,010
AUM (Assets Under Management)	$ 4,527,183,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/08/2025	Cover Page	Report
08/23/2024	Cover Page	Report
10/30/2023	Cover Page	Report
12/22/2022	Cover Page	Report

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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Firm Stability Insights

Robert C. Swift

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

RAUSCHER PIERCE REFSNES, INC.

DAIN RAUSCHER INCORPORATED

BOETTCHER & COMPANY, INC.

Primary Firm SEC Registration

TCI WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/1995

Series 63

Date: 1/13/1984

Series 7

Date: 12/17/1983

Series 24

Date: 8/17/1990

Current Firm

TCI WEALTH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TCI WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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