Unclaimed Profile

Richard Thompson Allison

SWBC INVESTMENT ADVISORY SERVICES LLC·AUSTIN, Texas

Series 4, Series 5, Series 7, Series 9, Series 10, Series 24, Series 27, Series 53, Series 55, Series 63, Series 66Clean record26 years registeredSWBC INVESTMENT ADVISORY SERVICES LLC

900 SOUTH CAPITAL OF TEXAS, AUSTIN, TX 78746CRD# 719122Firm CRD# 156155

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Thompson Allison · AUSTIN, TX

Registration

CRD #719122 · SWBC INVESTMENT ADVISORY SERVICES LLC · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC

Sep 2011 – Dec 2025

AUSTIN, TX

SWBC INVESTMENT COMPANY

Aug 2010 – Sep 2011

SAN ANTONIO, TX

STANCORP INVESTMENT ADVISERS, INC.

Jan 2007 – Aug 2010

AUSTIN, TX

INVESMART ADVISORS INC

May 2000 – Jan 2007

AUSTIN, TX

Registrations & Exams

FINRA examinations passed

Series 4

Series 5

Series 7

Series 9

Series 10

Series 24

Series 27

Series 53

Series 55

Series 63

Series 66

Registration record

First registered · May 1, 2000

Years registered · 26

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

CRD 156155 · SEC 801-72669

Employees

Total firm employees

Services offered by SWBC INVESTMENT ADVISORY SERVICES LLC

Per Form ADV

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Nonprofits & Foundations

View all advisors at SWBC INVESTMENT ADVISORY SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does Richard Thompson Allison offer?

Richard Thompson Allison is a registered financial advisor in AUSTIN, Texas.

What are Richard Thompson Allison's credentials?

Richard Thompson Allison is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Thompson Allison located?

Richard Thompson Allison is based in AUSTIN, Texas, last registered with SWBC INVESTMENT ADVISORY SERVICES LLC.

How does Richard Thompson Allison charge for services?

Richard Thompson Allison's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SWBC INVESTMENT ADVISORY SERVICES LLC?

SWBC INVESTMENT ADVISORY SERVICES LLC has approximately 9 employees. The firm is registered with the SEC as an investment adviser.

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