RZ
Richard J. Zich
SOUTHWEST INVESTMENT ADVISORS
Tucson, AZ 85741
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CRD#: 7081429
RZ
Professional summary
Richard John Zich, who also goes by Rick John Zich, is a registered financial advisor currently at SOUTHWEST INVESTMENT ADVISORS, INC. located in Tucson, Arizona and LPL FINANCIAL LLC located in Tucson, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick John Zich
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. 4/22/2019 - Trinity Diamonds Inc. - Not Investment Related - 6070 N Oracle Road, Tucson, AZ 85704 - Other-Family Business - Officer/Statutory Agent - Started 11/27/2002 - 4 Hours Per Month/0 Hours During Securities Trading - Retail jewelry store run by wife, Joanne Zich. Help with accounting and website concepts 3-4 hours a month on evenings and weekends. 2. 4/22/2019 - Southwest Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 6/26/2019 - Southwest Investment Advisors, Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/03/2019 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Southwest Investment Advisors, Inc, an independent investment advisor firm. I started this business activity in 06/2019. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Zich'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®
NoneExperience
Current
March 4, 2021 - Present
SOUTHWEST INVESTMENT ADVISORS, INC.
Office #1: 7594 N La Cholla, Tucson, AZ 85741RIA
CRD#: 312685
Tucson, AZ
Current
April 26, 2019 - Present
LPL FINANCIAL LLC
Office #1: 7594 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 6413
Tucson, AZ
Past
June 7, 2019 - March 8, 2021
SOUTHWEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 117052
TUCSON, 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".
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
Alabama(12/21/2020)
IAR
Alabama(3/2/2023)
RR
Alaska(12/21/2020)
RR
Arizona(5/29/2019)
IAR
Arizona(3/23/2021)
RR
Arkansas(8/24/2022)
RR
California(3/3/2020)
RR
Colorado(12/21/2020)
IAR
Colorado(3/2/2023)
RR
Connecticut(2/11/2022)
RR
Delaware(1/19/2022)
RR
District of Columbia(1/2/2021)
RR
Florida(12/21/2020)
RR
Georgia(12/21/2020)
RR
Hawaii(1/2/2021)
RR
Idaho(12/21/2020)
RR
Illinois(12/21/2020)
RR
Indiana(12/21/2020)
RR
Iowa(1/2/2021)
RR
Kansas(1/2/2021)
RR
Kentucky(12/21/2020)
RR
Louisiana(1/2/2021)
RR
Maine(1/2/2021)
RR
Maryland(1/2/2021)
RR
Massachusetts(5/5/2021)
RR
Michigan(12/21/2020)
RR
Minnesota(12/21/2020)
RR
Mississippi(1/6/2021)
RR
Missouri(1/2/2021)
RR
Montana(1/2/2021)
RR
Nebraska(11/16/2023)
RR
Nevada(12/21/2020)
RR
New Jersey(2/11/2022)
RR
New Mexico(1/2/2021)
RR
New York(12/21/2020)
RR
North Carolina(12/22/2020)
RR
North Dakota(12/21/2020)
RR
Ohio(1/2/2021)
RR
Oklahoma(1/2/2021)
RR
Oregon(12/21/2020)
RR
Pennsylvania(12/21/2020)
RR
Rhode Island(12/21/2020)
RR
South Carolina(12/21/2020)
RR
South Dakota(1/2/2021)
RR
Tennessee(12/21/2020)
RR
Texas(12/21/2020)
IAR
Texas(3/4/2021)
RR
Utah(1/2/2021)
RR
Virginia(1/2/2021)
RR
Washington(1/2/2021)
RR
Wisconsin(12/21/2020)
RR
Wyoming(12/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2019
General Securities Representative ExaminationGeneral 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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Check for any disclosures as part of your thorough research when choosing an advisor.
