Kenneth G. Riebe

TCI WEALTH ADVISORS

TUCSON, AZ 85718

Some features on this profile are disabled

CRD#: 1770775

Professional summary

Kenneth Gerhard Riebe is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Tucson, Arizona.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Kenneth has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Kenneth Gerhard Riebe'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

August 31, 1994 - Present

TCI WEALTH ADVISORS, INC.

Office #1: 4011 E. Sunrise Drive, Tucson, AZ 85718

RIA

CRD#: 107373

TUCSON, AZ

Past

January 31, 1992 - November 19, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

December 22, 1987 - January 28, 1992

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/31/1994)

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: 12/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/1995

General Securities Principal Examination

Current Firm

TCI WEALTH ADVISORS, INC.

CRD#: 107373 / SEC#: 801-37083

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Chad Lawyer

LIFE STRATEGY PARTNERS

IAR

TUCSON, AZ

Edward Carpenter

UNION CAPITAL COMPANY

IAR

Lake Placid, FL

Brian Mckeighen

FBL WEALTH MANAGEMENT, LLC

IAR

West Des Moines, IA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth G. Riebe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Gerhard Riebe's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

RAUSCHER PIERCE REFSNES, INC.

Primary Firm SEC Registration

TCI WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1995

Series 63

Date: 1/8/1988

Series 7

Date: 12/19/1987

Series 24

Date: 11/30/1995

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

Contact information

Similar Advisors