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SY

Samuel P. Ynzunza

Some features on this profile are disabled
CRD#: 2135860
SY

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.

Samuel Paul Ynzunza was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1991. Samuel had worked at 15 firms and has passed the Series 63, Series 65, Series 82TO, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

May 1, 2023 - May 21, 2025

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
SAN ANTONIO, TX
Past

November 7, 2022 - January 9, 2023

LITTLE RIVER CAPITAL, LLC

BD
CRD#: 118917
VESTAVIA HILLS, AL
Past

December 4, 2020 - September 23, 2022

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

January 25, 2018 - February 24, 2020

BLAYLOCK VAN, LLC

BD
CRD#: 145317
OAKLAND, CA
Past

April 14, 2014 - April 15, 2016

FAIRBRIDGE CAPITAL MARKETS

BD
CRD#: 103818
NEWPORT BEACH, CA
Past

September 27, 2011 - April 4, 2014

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
LOS ANGELES, CA
Past

June 6, 2007 - June 21, 2011

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
LOS ANGELES, CA
Past

October 22, 2004 - June 6, 2007

MULTITRADE SECURITIES LLC

BD
CRD#: 47485
NEW YORK, NY
Past

July 17, 2001 - August 26, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

January 22, 1997 - October 30, 1997

DAVIS DISTRIBUTORS, LLC

BD
CRD#: 7975
TUCSON, AZ
Past

August 6, 1996 - January 7, 1997

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289
HOUSTON, TX
Past

June 16, 1994 - June 19, 1996

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
NASHVILLE, TN
Past

May 24, 1993 - November 24, 1993

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

January 4, 1993 - May 4, 1993

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

April 26, 1991 - August 2, 1991

FIDUCIARY INVESTMENT COMPANY, INC.

BD
CRD#: 1985
BOSTON, MA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/21/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 5/1/2023
Limited Representative-Private Securities Offerings
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: 4/16/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1992
General Securities Principal Examination

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#: 133715

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