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Current Employers
Southwest Investment Advisors, Inc.

7594 N La Cholla, Tucson, AZ 85741 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2021-03-31
CA RA APPROVED 2021-03-10
TX RA APPROVED_RES 2021-03-10
  • AZ RA
    APPROVED
    Since 2021-03-31
  • CA RA
    APPROVED
    Since 2021-03-10
  • TX RA
    APPROVED_RES
    Since 2021-03-10

Branch Locations

7594 N La Cholla, Tucson, AZ 85741 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Southwest Investment Advisors, Inc. Tucson AZ 08/2009 Present
National Planning Corporation Tucson AZ 02/2015 11/2017
Lpl Financial, Llc Tucson AZ 11/2017 Present
  • 08/2009 → Present
    Tucson, AZ
  • 02/2015 → 11/2017
    National Planning Corporation
    Tucson, AZ
  • 11/2017 → Present
    Lpl Financial, Llc
    Tucson, AZ
Previous Registrations
  • 2011-09-28 → 2021-03-08
    Southwest Investment Advisors, Inc.
    Tucson, AZ
  • 2011-05-26 → 2011-07-27
    First Allied Securities, Inc.
    Tucson, AZ
Other Businesses

1. 11/29/2017 - Dave Ramsey Endorsed Local Provider - Not Investment Related - At Reported Business Location(s) - Other - Independent Contracter - Start Date 1/1/2012 - 15 Hours Per Month/15 During Securities Trading. 2. 11/29/2017 - Lenz Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Sales - Start Date 10/10/2012 - 1 Hours Per Month/1 During Securities Trading. 3. 01/08/2018 - Southwest Investment Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date 8/31/2009 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Southwest Inv. Advisors, an independent investment advisor firm. I started this business activity on 10/24/17. I expect to spend approximately 160 hours per month on this activity. Please see the advisory fi/rms 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.Southwest Investment Advisors. 4. 4/27/2018 - Southwest Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 160 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-05
  • S66 Uniform Combined State Law Examination
    2011-05-05
Other Names
  • Alexandra Farquhar
  • Alix Farquhar
  • Alexandra Johnson Farquhar

View on SEC IAPD

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