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DR

Donald S. Rykert

SWBC INVESTMENT SERVICES
San Antonio, TX 78216
Some features on this profile are disabled
CRD#: 2128744
DR

Professional summary

Donald Scott Rykert, who also goes by Scott Rykert, is a registered financial professional currently at SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1991. Donald has worked at 3 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Rykert

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) - BD

Click below to view Donald Scott Rykert'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

February 2, 2015 - Present

SWBC INVESTMENT SERVICES, LLC

Office #1: 9311 San Pedro Suite 600, San Antonio, TX 78216Office #2: 9311 San Pedro, Ste 600, San Antonio, TX 78216
BD
CRD#: 133715
San Antonio, TX
Past

February 5, 2001 - February 3, 2015

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
BOERNE, TX
Past

August 27, 1991 - February 2, 2001

STOEVER, GLASS & COMPANY INC.

BD
CRD#: 7031
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alabama
(2/9/2015)
RR
Arizona
(2/2/2015)
RR
California
(2/2/2015)
RR
Colorado
(2/2/2015)
RR
Connecticut
(2/2/2015)
RR
Florida
(2/2/2015)
RR
Georgia
(2/2/2015)
RR
Illinois
(2/2/2015)
RR
Indiana
(2/12/2015)
RR
Louisiana
(2/2/2015)
RR
Massachusetts
(2/20/2015)
RR
Michigan
(2/2/2015)
RR
Minnesota
(2/2/2015)
RR
Nevada
(2/2/2015)
RR
New Jersey
(2/2/2015)
RR
New Mexico
(2/2/2015)
RR
New York
(2/2/2015)
RR
North Carolina
(2/2/2015)
RR
Ohio
(2/2/2015)
RR
Oklahoma
(2/9/2015)
RR
Pennsylvania
(2/2/2015)
RR
South Carolina
(2/25/2015)
RR
South Dakota
(10/21/2025)
RR
Texas
(2/2/2015)
RR
Utah
(2/11/2015)
RR
Virginia
(2/2/2015)
RR
Washington
(2/9/2015)
RR
West Virginia
(2/2/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/17/2002
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SWBC INVESTMENT SERVICES, LLC
SWBC INVESTMENT SERVICES, LLC | SWBC WEALTH MANAGEMENT

CRD#: 133715 / SEC#: , 8-66764

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Mailing Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Phone number
(800) 527-0066
Established
Texas since 08/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST BUSINESS CORPORATIONMEMBER
IRETA, ALEJANDRO GCHIEF OPERATING OFFICER5752503
RYKERT, DONALD SCOTTCEO/CCO2128744
SMITH, RYAN CHARLESDIRECTOR OF FINANCE - FINOP7015114

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

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715San Antonio, TX 78216

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