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AR

Amy L. Richardson

TCI WEALTH ADVISORS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5493587
AR

Professional summary

Amy Lynn Richardson, CFP® is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Denver, Colorado.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Amy has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Lynn Richardson'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®
CFP®

Certified Financial Planner

Experience

Current

May 20, 2026 - Present

TCI WEALTH ADVISORS, INC.

Office #1: 1401 17th Street Suite 850, Denver, CO 80202
RIA
CRD#: 107373
Denver, CO
Past

January 18, 2017 - June 26, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Lone Tree, CO
Past

October 3, 2016 - January 19, 2017

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
LONE TREE, CO
Past

September 30, 2016 - June 26, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO
Past

April 9, 2015 - August 25, 2016

BROWN AND COMPANY, INC.

RIA
CRD#: 127709
DENVER, CO
Past

September 21, 2012 - September 8, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
DENVER, CO
Past

September 21, 2012 - September 8, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
DENVER, CO
Past

July 9, 2012 - July 26, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
DENVER, CO
Past

July 3, 2012 - July 26, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
DENVER, CO
Past

January 9, 2012 - May 17, 2012

HARRIS ASSOCIATES SECURITIES L.P.

BD
CRD#: 6959
CHICAGO, IL
Past

February 27, 2009 - November 28, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

February 27, 2009 - November 28, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

January 21, 2009 - March 9, 2009

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
CHICAGO, IL
Past

September 22, 2008 - March 9, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
CHICAGO, IL
Past

July 2, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA
CRD#: 7506
CHICAGO, IL
Past

April 30, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
CHICAGO, IL

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".
TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 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.

Highlighted states indicate IAR registrations

IAR
Colorado
(5/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/23/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/3/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 Approved)
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Contact information

Main Address
4011 East Sunrise Drive, Tucson, AZ 85718
Mailing Address
Phone number
(520) 733-1477
Established
Firm type
Fiscal year end
# of Employees
71

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/4/2026)

Regulatory assets under management

Total Number of Accounts11,863
AUM (Assets Under Management)$ 5,368,062,519

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/08/2025
Cover Page
Report
08/23/2024
Cover Page
Report
10/30/2023
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.

Company Information

TCI WEALTH ADVISORS, INC.

TCI WEALTH ADVISORS, INC.

CRD#: 107373Denver, CO 80202

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