Sharon Kay Swarthout

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1998 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 12/2003 → Present
  Cetera Advisors Llc
  Denver, CO
• 08/2012 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2014 → 11/2016
  Investors Capital Corporation
  Lynnfield, MA
• 03/2009 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN
• 10/2014 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 10/2014 → 12/2016
  Legend Equities Corporation
  Palm Beach Gardens, FL
• 10/2014 → 12/2019
  Summit Brokerage Services, Inc.
  Boca Raton, FL
• 03/2015 → 11/2016
  Vsr Financial Services
  Overland Park, KS
• 03/2015 → 11/2017
  Girard Securities Inc
  San Diego, CA
• 10/2024 → 09/2025
  Avantax Investment Services Inc
  Dallas, TX
• 03/2026 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Exams

• S66 Uniform Combined State Law Examination
  2026-03-10
• S63 Uniform Securities Agent State Law Examination
  1998-12-29

Other Names

• Dieken
• Sharon Kay Dieken
• Sharon Kay Wright
• Sharon Kay Dieken
• Sharon Wright