Why Independent

 We work for you.

 Let’s start with those two little words, “for you.” Anyone who has worked with a major brokerage house over the past few years may feel that their brokers have forgotten who they’re working for.  We believe it’s a problem.   The reason we’re together at Southwest Investment Advisors is because we felt it was increasingly difficult to do the one thing we entered the business to do in the first place: help our clients.  We strive to give you the honest, unbiased counsel you need to be as successful as you can with your investment portfolio.

You will never have to worry about any of us selling you our own proprietary products.  We are an independent firm.  We don’t have any.  We never will.

What you will get from us is simple: over 60 years of combined experience and knowledge selecting investments that will keep your goals and risk tolerance in mind.

And we will never forget that we work for you.

The Investors Bill of Rights

When you invest with us, or anyone else, you have the right to:

1. Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.  (Who we are)

2. Receive complete information about the risks, obligations and costs of any investment before investing.

3. Receive recommendations consistent with your financial needs and investment objectives.

4. Receive a copy of all completed account forms and agreements.

5. Receive account statements that are accurate and understandable.

6. Understand the terms and conditions of transactions you undertake.

7. Access your funds in a timely manner and receive information about any restrictions or limitations on access.

8. Discuss account problems with the branch manager or compliance department of First Allied and receive prompt attention to and fair consideration of your concerns.

9. Receive complete information about commissions, sales charges, maintenance or service charges, transaction or redemption fees, and penalties.

10. Contact the Securities Division in order to verify the employment and disciplinary history of a securities salesperson and the salesperson’s firm; find out if the investment is permitted to be sold; or file a complaint.

The Investor’s Bill of Rights clearly states what is expected of our clients. The Investor’s Bill of Rights was developed by the Professional Investor’s Arbitration Bar Association and was adopted by Southwest Investment Advisors.

Securities offered through First Allied Securities, Inc. A Registered Broker/Dealer. Member FINRA/SIPC. Advisory services offered through Southwest Investment Advisors. A Registered Investment Adviser. Southwest Investment Advisors is not affiliated with First Allied Securities, Inc. Click here to view First Allied Securities' Privacy Policy. This site is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced herein. We suggest that you consult with your financial or tax advisor with regard to your individual situation. This site has been published in the United States for residents of the United States. Persons mentioned in this site may only transact business in states in which they have been properly registered or are exempt from registration.