Richard John Zich

Current Employers

Employment History

• 01/2012 → 04/2019
  Coopers Diy, Llc
  Tucson, AZ
• 04/2019 → Present
  Lpl Financial
  Tucson, AZ
• 06/2019 → Present
  Southwest Investment Advisors, Inc
  Tuscon, AZ

Previous Registrations

• 2019-06-07 → 2021-03-08
  Southwest Investment Advisors, Inc.
  Tucson, AZ

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-06-03
• S63 Uniform Securities Agent State Law Examination
  2019-05-24

Other Names

• Rick John Zich