Rizwan Rizwi

SAR WEALTH MANAGEMENT

Lynnwood, WA

Some features on this profile are disabled

CRD#: 3215582

Professional summary

Rizwan Rizwi is a registered financial advisor currently at SAR WEALTH MANAGEMENT located in Lynnwood, Washington.

Rizwan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Rizwan has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

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.

SAR MANAGEMENT CONSULTANTS - NON-INVESTMENT RELATED - SAME ADDRESS - BUSINESS CONSULTING - OWNER - 2008 - 5 HRS/MO - NONE DURING TRADING - CONSULT ON MARKETING, HR, ACCOUNTING AND BUSINESS PLANNING SAR TRADING CO - NON-INVESTMENT RELATED - SAME ADDRESS - RUG IMPORT AND DISTRIBUTION - OWNER - 2008 - 10 HRS/MO - NONE DURING TRADING - IMPORT, DISTRIBUTE AND WHOLESALE SALES OF RUGS SAR GROUP LLC - NON-INVESTMENT RELATED - SAME ADDRESS - HOLDING COMPANY - OWNER - 2008 - 5 HRS/MO - NONE DURING TRADING - THIS IS THE MAIN COMPANY THROUGH WHICH SEVERAL DBAS ARE HELD. ACTIVITIES AS PRESIDENT AND CEO AS NEEDED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rizwan Rizwi'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®

None

Experience

Current

February 6, 2014 - Present

SAR WEALTH MANAGEMENT

RIA

CRD#: 170194

Lynnwood, WA

Past

March 24, 2010 - December 31, 2013

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

LYNNWOOD, WA

Past

March 24, 2010 - December 31, 2013

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

LYNNWOOD, WA

Past

April 18, 2006 - October 20, 2008

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

April 18, 2006 - October 20, 2008

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

SEATTLE, WA

Past

August 30, 2005 - April 3, 2006

WADDELL & REED

CRD#: 866

LYNNWOOD, WA

Past

August 26, 2005 - April 3, 2006

WADDELL & REED

RIA

CRD#: 866

LYNNWOOD, WA

Past

March 17, 2005 - March 24, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BELLEVUE, WA

Past

June 9, 2004 - August 24, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SEATTLE, WA

Past

June 9, 2004 - August 24, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 12, 2003 - July 22, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

June 6, 2003 - July 22, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 6, 2000 - September 24, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PROVO, UT

Past

October 26, 1999 - September 24, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Washington
(2/6/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/1999

General Securities Representative Examination

Current Firm

SAR WEALTH MANAGEMENT

SAR GROUP LLC | SAR WEALTH MANAGEMENT LLC | SAR WEALTH MANAGEMENT

CRD#: 170194 / SEC#:

Washington

Registered Investment Advisory firm - (2/6/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Lynnwood, WA

Mailing Address

Phone number

(425) 361-2649

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 3,892,850

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rizwan Rizwi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rizwan Rizwi's CRS (Customer Relationship Summary).

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

WADDELL & REED

WADDELL & REED

AMERIPRISE FINANCIAL SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1999

Series 63

Date: 11/22/1999

Series 7

Date: 10/25/1999

Current Firm

SAR WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAR WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors