David W. Bowen
SOUTHWEST INVESTMENT ADVISORS
Tucson, AZ 85741
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CRD#: 2756428
Professional summary
David William Bowen, CFP® is a registered financial advisor currently at SOUTHWEST INVESTMENT ADVISORS, INC. located in Tucson, Arizona and LPL FINANCIAL LLC located in Tucson, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Long-term Care
Comprehensive Financial Planni...
Estate Planning
Education Planning
Investment Planning
Tax Planning
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.
1. 01/30/2024 - Southwest Investment Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/02/2024 - 160 Hours Per Month/ During Trading 2. 03/13/2024 - Southwest Investment Advisors, Inc - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 01/02/2024 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Southwest Investment Advisors, Inc., an independent investment advisor firm. I started this business activity in 01/2024. I expect to spend approximately 160 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. 3. 06/20/2024 - David Bowen CFP LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 01/04/2024 - 0 Hours Per Month/ During Trading
CRS (Client Relationship Summary) - RIA
Click below to view David William Bowen'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®
CFP®
Start date: 2003
Experience
Current
March 12, 2024 - Present
SOUTHWEST INVESTMENT ADVISORS, INC.
Office #1: 7594 N La Cholla, Tucson, AZ 85741RIA
CRD#: 312685
Tucson, AZ
Current
June 30, 2004 - Present
LPL FINANCIAL LLC
Office #1: 7594 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 6413
Tucson, AZ
Past
June 22, 2023 - April 11, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
MARANA, AZ
Past
July 26, 1996 - July 6, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SI
SOUTHWEST INVESTMENT ADVISORS, INC.
SOUTHWEST INVESTMENT ADVISORS, INC.
CRD#: 312685 / SEC#: 801-120406
RIA
Registered Investment Advisory firm - (12/31/2020 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
Arizona(6/30/2004)
IAR
Arizona(3/27/2024)
RR
Arkansas(3/7/2022)
RR
California(6/30/2004)
RR
Colorado(10/23/2006)
RR
Florida(4/10/2014)
RR
Idaho(1/16/2025)
RR
Kansas(6/30/2004)
RR
Michigan(8/12/2013)
RR
Minnesota(4/18/2023)
RR
Missouri(10/19/2021)
RR
Montana(4/5/2012)
RR
Nebraska(7/12/2004)
RR
New Jersey(5/7/2024)
RR
New Mexico(7/19/2004)
RR
North Carolina(3/21/2022)
RR
Ohio(1/5/2013)
RR
Oregon(8/6/2004)
RR
South Carolina(7/20/2020)
RR
South Dakota(6/23/2016)
RR
Tennessee(8/4/2021)
RR
Texas(12/20/2022)
IAR
Texas(3/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SOUTHWEST INVESTMENT ADVISORS, INC.
SOUTHWEST INVESTMENT ADVISORS, INC.
CRD#: 312685 / SEC#: 801-120406
RIA
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Contact information
Main Address
7594 N La Cholla, Tucson, AZ 85741
Mailing Address
Phone number
(520) 544-2500
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,156 |
| AUM (Assets Under Management) | $ 325,665,484 |
Red Flags
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Company Information
SOUTHWEST INVESTMENT ADVISORS, INC.
CRD#: 312685Tucson, AZ 85741TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
