Unclaimed Profile

James Spottswood Tardy

RGT WEALTH ADVISORS, LLC·DALLAS, Texas

SIE, Series 7, Series 63, Series 6530 years registeredRGT WEALTH ADVISORS, LLC

5950 SHERRY LANE, STE. 600, DALLAS, TX 75225CRD# 2530322Firm CRD# 104953

Profile Verification

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

Identity

James Spottswood Tardy · DALLAS, TX

Registration

CRD #2530322 · RGT WEALTH ADVISORS, LLC · 30 years registered

Brand Profile

Not yet started

Career History

CORIENT

Nov 2022 – present

RGT WEALTH ADVISORS

May 2016 – Mar 2023

DALLAS, TX

CREDIT SUISSE SECURITIES (USA) LLC

Jan 2003 – Mar 2016

DALLAS, TX

DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

May 1996 – Jan 2003

DALLAS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · May 24, 1996

Years registered · 30

Disclosure History

2017Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RGT WEALTH ADVISORS, LLC

CRD 104953 · SEC 801-27090

AUM

$5.8B

Regulatory assets under management

Employees

4,575 client accounts

Services offered by RGT WEALTH ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at RGT WEALTH ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James Spottswood Tardy offer?

James Spottswood Tardy specializes in Financial Planning, Investment Management, Retirement Planning. Contact their office in DALLAS, Texas for a consultation.

What are James Spottswood Tardy's credentials?

James Spottswood Tardy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Spottswood Tardy located?

James Spottswood Tardy is based in DALLAS, Texas, working with RGT WEALTH ADVISORS, LLC. Their office serves clients in the DALLAS metropolitan area and surrounding communities.

How does James Spottswood Tardy charge for services?

James Spottswood Tardy's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RGT WEALTH ADVISORS, LLC?

RGT WEALTH ADVISORS, LLC has approximately 68 employees and manages $5.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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