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Carrie Fran Swiatek

Cetera Investment Advisers LLC

Latham, NY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-04-12
NY RA APPROVED 2021-04-12
  • TX RA
    APPROVED_RES
    Since 2023-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

19 British American Blvd East, Latham, NY 12110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Services Latham NY 03/2016 12/2016
Foresters Financial Services Latham NY 12/2016 06/2019
Cetera Investment Advisers Llc Lathan NY 06/2019 Present
Cetera Investment Services Llc St. Cloud MN 06/2019 Present
  • 03/2016 → 12/2016
    Foresters Financial Services
    Latham, NY
  • 12/2016 → 06/2019
    Foresters Financial Services
    Latham, NY
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Lathan, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-06-01
  • S63 Uniform Securities Agent State Law Examination
    2016-06-01
Other Names
  • Carrie Fran Falaro
  • Carrie Fran Cameron

View on SEC IAPD

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CHRISTOPHER MICHAEL INGEMIE
DAVID P MARTIN
DANIEL SCOTT SULLIVAN
Nicholas Arthur Mattiello
John Michael Daniels
Zachary T Rupert
Christopher Welfley

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LATHAM, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Latham, NY
EAGLE STRATEGIES LLC · LATHAM, NY
MML INVESTORS SERVICES, LLC · LATHAM, NY
CAPABLE WEALTH, LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · LATHAM, NY

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