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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 2024-03-20
  • AZ RA
    APPROVED
    Since 2024-03-20

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
Salpointe Catholic High School Tucson AZ 04/2014 12/2017
Canyon Del Oro High School Oro Valley AZ 12/2017 02/2018
Primavera Online High School Oro Valley AZ 03/2018 04/2018
Hacienda Del Sol Tucson AZ 01/2018 08/2018
Bianchi's Italian Tucson AZ 02/2018 08/2018
University Of Arizona Tucson AZ 08/2018 12/2022
Sole Proprietor Tucson AZ 11/2019 10/2022
Hifi Kitchen And Cocktails Tucson AZ 03/2022 08/2022
Southwest Investment Advisors Tucson AZ 01/2023 Present
Lpl Financial Llc Tuscon AZ 02/2023 Present
  • 04/2014 → 12/2017
    Salpointe Catholic High School
    Tucson, AZ
  • 12/2017 → 02/2018
    Canyon Del Oro High School
    Oro Valley, AZ
  • 03/2018 → 04/2018
    Primavera Online High School
    Oro Valley, AZ
  • 01/2018 → 08/2018
    Hacienda Del Sol
    Tucson, AZ
  • 02/2018 → 08/2018
    Bianchi's Italian
    Tucson, AZ
  • 08/2018 → 12/2022
    University Of Arizona
    Tucson, AZ
  • 11/2019 → 10/2022
    Sole Proprietor
    Tucson, AZ
  • 03/2022 → 08/2022
    Hifi Kitchen And Cocktails
    Tucson, AZ
  • 01/2023 → Present
    Southwest Investment Advisors
    Tucson, AZ
  • 02/2023 → Present
    Lpl Financial Llc
    Tuscon, AZ
Other Businesses

1) 1/2023- Southwest Investment Advisors- DBA for LPL Business (entity for LPL business)- inv. related- Tuscon, AZ 2) 06/13/2024 - Southwest Investment Advisors - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 3/20/2024 - 160 Hrs/Mo; 140 Hrs During Trading - I provide investment advisory services through Southwest Investment Advisors, an independent investment advisor firm. I started this business activity in 03/2024. 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
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-06
  • S66 Uniform Combined State Law Examination
    2023-06-06
Other Names
  • Douglas Riegger

View on SEC IAPD

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