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RIA / WealthAdvisorCertified Financial Planner18 years in industry

AMY LYNN RICHARDSON

Advisor at TCI WEALTH ADVISORS, INC.

Denver, CO | TUCSON, AZ

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Search this name across graphsid dfx:ria:8a2ece75-76bd-1899-2a9c-d2dab2a63308

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jul 2, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TCI WEALTH ADVISORS, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 1, 2008
First registration: Jul 2, 2008
Dual registered: no
IAPD individual key: 5493587

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TCI WEALTH ADVISORS, INC.	Independent wealth	May 20, 2026	n/a	yes	Denver, CO\|TUCSON, AZ	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 18, 2017	Jun 26, 2023	no	Lone Tree, CO	Previous registration
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Oct 3, 2016	Jan 19, 2017	no	LONE TREE, CO\|LONE TREE, CO	Previous registration
BROWN AND COMPANY, INC.	n/a	Apr 9, 2015	Aug 25, 2016	no	DENVER, CO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 21, 2012	Sep 8, 2016	no	DENVER, CO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 9, 2012	Jul 26, 2012	no	DENVER, CO	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 27, 2009	Nov 28, 2011	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 21, 2009	Mar 9, 2009	no	CHICAGO, IL	Previous registration
LEHMAN BROTHERS INC.	n/a	Jul 2, 2008	Oct 15, 2008	no	CHICAGO, IL\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	TCI WEALTH ADVISORS, INC.	Jun 26, 2023	May 20, 2026	1,059	Firm change after gap	Ibd to RIA
SCHWAB WEALTH ADVISORY, INC.	CHARLES SCHWAB & CO., INC.	Jan 19, 2017	Jan 18, 2017	-1	Channel change	Other
LPL FINANCIAL LLC	BROWN AND COMPANY, INC.	Sep 8, 2016	Apr 9, 2015	-518	Firm change after gap	Other
BROWN AND COMPANY, INC.	SCHWAB WEALTH ADVISORY, INC.	Aug 25, 2016	Oct 3, 2016	39	Firm change	Other
UBS FINANCIAL SERVICES INC.	LPL FINANCIAL LLC	Nov 28, 2011	Jul 9, 2012	224	Firm change	Other
BARCLAYS CAPITAL INC.	UBS FINANCIAL SERVICES INC.	Mar 9, 2009	Feb 27, 2009	-10	Firm change	Other
LEHMAN BROTHERS INC.	BARCLAYS CAPITAL INC.	Oct 15, 2008	Jan 21, 2009	98	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
159035:5393:CO:2017-01-09	Jan 19, 2017	Jan 18, 2017	LONE TREE, CO	Firm change

Relationships

Registered with (8)

→ TCI WEALTH ADVISORS, INC.Registered adviserregistration: current employment
May 20, 2026 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 18, 2017 to Jun 26, 2023factForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: previous registration
Oct 3, 2016 to Jan 19, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 21, 2012 to Sep 8, 2016factForm ADV
→ BROWN AND COMPANY, INC.Registered adviserregistration: previous registration
Apr 9, 2015 to Aug 25, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 27, 2009 to Nov 28, 2011factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 21, 2009 to Mar 9, 2009factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Jul 2, 2008 to Oct 15, 2008factForm ADV

Dated events

Occurred
Jun 26, 2023
Advisor changed firm
Amy Lynn Richardson left Charles Schwab & Co., Inc. for Tci Wealth Advisors, Inc. (registered 2026-05-20)
Form ADVobserved 5 days ago