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Richard T. Allison

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CRD#: 719122
RA

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 Thompson Allison was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 10 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 5, Series 53, Series 10, Series 9, Series 4, Series 27 and Series 24 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

September 1, 2011 - December 2, 2025

SWBC INVESTMENT ADVISORY SERVICES LLC

RIA
CRD#: 156155
AUSTIN, TX
Past

August 6, 2010 - September 14, 2011

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

August 6, 2010 - September 30, 2011

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
AUSTIN, TX
Past

January 1, 2007 - August 2, 2010

STANCORP INVESTMENT ADVISERS, INC.

RIA
CRD#: 110228
AUSTIN, TX
Past

January 1, 2007 - July 29, 2010

STANCORP EQUITIES, INC.

BD
CRD#: 19517
AUSTIN, TX
Past

January 25, 2001 - January 1, 2007

INVESMART SECURITIES, LLC

BD
CRD#: 104168
AUSTIN, TX
Past

May 1, 2000 - January 1, 2007

INVESMART ADVISORS INC

RIA
CRD#: 108731
AUSTIN, TX
Past

July 9, 1998 - October 27, 1999

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA
Past

March 1, 1995 - June 5, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

November 24, 1980 - June 10, 1988

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4

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
SWBC INVESTMENT ADVISORY SERVICES LLC
SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA
Registered Investment Advisory firm - (9/1/2011 Approved)

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
RR
IAR
Series 66
Date: 3/13/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 10/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/28/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/16/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/9/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/22/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/21/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/7/2000
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/29/1996
General Securities Principal Examination

Current Firm

SI
SWBC INVESTMENT ADVISORY SERVICES LLC
SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA
Registered Investment Advisory firm - (9/1/2011 Approved)
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Contact information

Main Address
900 South Capital Of Texas Ste 155, Austin, TX 78746
Mailing Address
Phone number
(512) 807-2606
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (2 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

SWBC RETIREMENT PLAN SERVICES FORM ADV PART 2A (3/30/2025)

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

SWBC INVESTMENT ADVISORY SERVICES LLC

CRD#: 156155

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