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RT

Richard G. Tarbell

STRATEGIC FINANCIAL CONCEPTS
San Antonio, TX 78209
Some features on this profile are disabled
CRD#: 1560733
RT

Professional summary

Richard Gordon Tarbell JR, who also goes by Richard G Tarbell Jr, Richard Jr Tarbell, Rick G Tarbell, Rick Tarbell, is a registered financial advisor currently at STRATEGIC FINANCIAL CONCEPTS, LLC located in San Antonio, Texas and LPL FINANCIAL LLC located in San Antonio, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard G Tarbell Jr | Richard Jr Tarbell | Rick G Tarbell | Rick Tarbell

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) - RIA

Click below to view Richard Gordon Tarbell JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 15, 2019 - Present

STRATEGIC FINANCIAL CONCEPTS, LLC

Office #1: 901 Ne Loop 410 Suite 100, San Antonio, TX 78209
RIA
CRD#: 141849
San Antonio, TX
Current

October 23, 2015 - Present

LPL FINANCIAL LLC

Office #1: 6391 Dezavala Rd Ste 301, San Antonio, TX 78249
RIA
BD
CRD#: 6413
San Antonio, TX
Past

October 23, 2015 - March 29, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
San Antonio, TX
Past

October 5, 2009 - November 3, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SAN ANTONIO, TX
Past

October 5, 2009 - November 3, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SAN ANTONIO, TX
Past

January 7, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
SAN ANTONIO, TX
Past

December 18, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
SAN ANTONIO, TX
Past

November 2, 2007 - December 23, 2008

NATIONS FINANCIAL GROUP, INC.

RIA
CRD#: 44181
SAN ANTONIO, TX
Past

November 2, 2007 - December 23, 2008

NATIONS FINANCIAL GROUP, INC.

BD
CRD#: 44181
SAN ANTONIO, TX
Past

January 16, 2007 - November 2, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

RIA
CRD#: 104476
SAN ANTONIO, TX
Past

April 21, 2006 - November 2, 2007

FIRST MIDAMERICA INVESTMENT CORPORATION

BD
CRD#: 104476
SAN ANTONIO, TX
Past

May 14, 2003 - April 24, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN ANTONIO, TX
Past

August 26, 2002 - April 24, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 3, 1990 - September 4, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

September 26, 1986 - August 21, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/16/2025)
RR
Georgia
(4/17/2020)
RR
Kentucky
(1/9/2023)
RR
Louisiana
(10/23/2015)
RR
Texas
(10/23/2015)
IAR
Texas
(3/15/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/27/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/27/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)
PREMIUM
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Contact information

Main Address
901 Ne Loop 410 Suite 100, San Antonio, TX 78209
Mailing Address
Phone number
(210) 737-7800
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts3,290
AUM (Assets Under Management)$ 1,006,017,397

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.

Company Information

STRATEGIC FINANCIAL CONCEPTS, LLC

CRD#: 141849San Antonio, TX 78209

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