Richard P. Swetish

FROST INVESTMENT SERVICES

CORPUS CHRISTI, TX 78412

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CRD#: 2322722

Professional summary

Richard Patrick Swetish, who also goes by Rick Swetish, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Corpus Christi, Texas and FROST BROKERAGE SERVICES, INC. located in Corpus Christi, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Swetish

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) SA Properties; Investment Related; Concan, TX; Short-Term Rental Property; Co-Owner/Partner; Started 1/2001; Approx. 1hr/mo; Not during securities trading hrs; Review rental rates from management company hired to manage the property, decide on improvements and maintenance needs, pay monthly bills.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Patrick Swetish'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 13, 2024 - Present

FROST INVESTMENT SERVICES

Office #1: 7444 S Padre Island, Corpus Christi, TX 78412

RIA

CRD#: 286129

CORPUS CHRISTI, TX

Current

August 13, 2024 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 7444 S Padre Island Dr, Corpus Christi, TX 78412

CRD#: 17465

CORPUS CHRISTI, TX

Past

May 31, 2016 - August 15, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORPUS CHRISTI, TX

Past

May 31, 2016 - August 15, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CORPUS CHRISTI, TX

Past

July 25, 2012 - June 9, 2016

M. E. ALLISON & CO., INC.

RIA

CRD#: 1047

CORPUS CHRISTI, TX

Past

July 25, 2012 - June 9, 2016

M. E. ALLISON & CO., INC.

CRD#: 1047

CORPUS CHRISTI, TX

Past

August 3, 2010 - December 4, 2012

PRESIDIO FINANCIAL SERVICES, INC.

CRD#: 10010

CORPUS CHRISTI, TX

Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

RIA

CRD#: 149777

CORPUS CHRISTI, TX

Past

June 1, 2009 - August 16, 2010

MORGAN STANLEY

CRD#: 149777

CORPUS CHRISTI, TX

Past

August 6, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CORPUS CHRISTI, TX

Past

August 6, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CORPUS CHRISTI, TX

Past

February 2, 1998 - August 23, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORPUS CHRISTI, TX

Past

February 2, 1998 - August 23, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 10, 1993 - February 18, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 10, 1993 - February 18, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 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.

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

California
(8/28/2024)

Texas
(8/13/2024)

IAR

Texas
(8/13/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/26/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/6/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/9/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	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

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Advisor Monitoring

Firm Stability Insights

Richard P. Swetish

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Patrick Swetish's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

M. E. ALLISON & CO., INC.

M. E. ALLISON & CO., INC.

PRESIDIO FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1998

Series 63

Date: 6/30/1993

SIE

Date: 10/1/2018

Series 31

Date: 2/26/2008

Series 7

Date: 5/6/1998

Series 6

Date: 6/9/1993

FINRA

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

Contact information

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