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7594 N La Cholla, Tucson, AZ 85741 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-03-31 |
| CA | RA | APPROVED | 2021-03-10 |
| TX | RA | APPROVED_RES | 2021-03-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-05 |
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