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JY

Jose L. Yanez

TCI WEALTH ADVISORS
Tucson, AZ 85718
Some features on this profile are disabled
CRD#: 6761777
JY

Professional summary

Jose Luis Yanez, who also goes by Jose Yanez, Luis Yanez, is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Tucson, Arizona.

Jose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jose has worked at 3 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jose Yanez | Luis Yanez

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 Jose Luis Yanez'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

November 18, 2024 - Present

TCI WEALTH ADVISORS, INC.

Office #1: 4011 East Sunrise Drive, Tucson, AZ 85718
RIA
CRD#: 107373
Tucson, AZ
Past

September 4, 2020 - October 20, 2023

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
Scottsdale, AZ
Past

April 20, 2017 - October 20, 2023

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

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
Arizona
(11/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/12/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2017
Uniform Securities Agent 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: 4/20/2017
General Securities Representative 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 107373Tucson, AZ 85718

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