RS
Richard R. Swarb
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CRD#: 2881497
RS
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.
Richard Ray Swarb was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
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.
1. RICHARD R. SWARB, P.C.; NON-INVESTMENT RELATED; 5840 W INTERSTATE 20, STE 135, ARLINGTON, TX 76017; ATTORNEY; OWNER; START DATE 04/1994; 160 HRS/MONTH; 120 HRS/MONTH DURING SECURITIES TRADING HOURS; LAW PRACTICE. APPOINTED W/VARIOUS LIFE, ACCIDENT AND HEALTH INSURANCE COMPANIES.
2. RICHARD R. SWARB
POSITION: Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/1999
ADDRESS: 5840 I-20 W. Ste. 135, Arlington TX 76017, United States
DESCRIPTION: Offer life insurance, fixed annuites
3. RICHARD R. SWARB, P.C.
POSITION: President/Attorney NATURE: Law practice, Incorporated. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 12/01/2001
ADDRESS: 5840 I-20 W. Ste. 135, Arlington TX 76017, United States
DESCRIPTION: General practice of law
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®
NoneExperience
Past
January 28, 2021 - September 12, 2023
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
CRD#: 36956
Arlington, TX
Past
January 27, 2021 - September 12, 2023
ST. BERNARD FINANCIAL SERVICES, INC.
BD
CRD#: 36956
Arlington, TX
Past
May 9, 2016 - December 31, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ARLINGTON, TX
Past
November 6, 2015 - December 31, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
ARLINGTON, TX
Past
July 14, 2011 - December 1, 2016
FIRST INDEPENDENT ADVISORY SERVICES, INC.
RIA
CRD#: 132678
ARLINGTON, TX
Past
June 13, 2005 - November 17, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
BD
CRD#: 128904
ARLINGTON, TX
Past
August 12, 2004 - June 13, 2005
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
March 1, 2004 - August 12, 2004
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
BD
CRD#: 128904
TULSA, OK
Past
January 21, 1999 - March 29, 2004
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
July 11, 1997 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
