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.
1. 4/4/2019 - NFA Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading.
2. 5/3/2019 - Strategic Financial Concepts, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 04/01/2019 - 80 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Strategic Financial Concepts LLC, an independent investment advisor firm. I started this business activity in 04/2019. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Gordon Tarbell JR's 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®
NoneExperience
Current
March 15, 2019 - Present
STRATEGIC FINANCIAL CONCEPTS, LLC
Office #1: 901 Ne Loop 410 Suite 100, San Antonio, TX 78209RIA
CRD#: 141849
San Antonio, TX
Current
October 23, 2015 - Present
LPL FINANCIAL LLC
Office #1: 6391 Dezavala Rd Ste 301, San Antonio, TX 78249RIA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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 (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,290 |
| 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.
