Richard Swetish is a registered investment advisor, based in Corpus Christi, TX, with 32 years of industry experience.
Location
7444 S Padre Island, Corpus Christi, TX, 78412
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Richard is a co-owner/partner in a short-term rental property called SA Properties since 2001. He spends minimal time reviewing rental rates, deciding on improvements, and paying bills.
Employment History
Current Registrations
Frost Brokerage Services, INC.Broker
August 2024 - Present · 1 yr 9 mos
Frost Investment Services
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
May 2016 - August 2024 · 8 yrs 3 mos
Wells Fargo Advisors
May 2016 - August 2024 · 8 yrs 3 mos
M. E. Allison & CO., INC.
July 2012 - June 2016 · 3 yrs 11 mos
M. E. Allison & CO., INC.Broker
July 2012 - June 2016 · 3 yrs 11 mos
Presidio Financial Services, INC.Broker
August 2010 - December 2012 · 2 yrs 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - August 2010 · 1 yr 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2010 · 1 yr 2 mos
Citigroup Global Markets INC.
August 2004 - June 2009 · 4 yrs 10 mos
Citigroup Global Markets INC.Broker
August 2004 - June 2009 · 4 yrs 10 mos
UBS Financial Services INC.Broker
February 1998 - August 2004 · 6 yrs 6 mos
UBS Financial Services INC.
February 1998 - August 2004 · 6 yrs 6 mos
The Equitable Life Assurance Society of the United StatesBroker
June 1993 - February 1998 · 4 yrs 8 mos
Eq Financial Consultants, INC.Broker
June 1993 - February 1998 · 4 yrs 8 mos
State Registrations2 states
CATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.