Best Investors Account Sign in

Dawn Marie Sweed

Cetera Investment Advisers LLC

Montgomery, NY

Claim This Profile
Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

15 Scotts Corner Drive, Montgomery, NY 12549 • 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
Royalty Dry Cleaning Inc Walden NY 02/2002 Present
Walden Savings Bank Montgomery NY 10/2015 Present
Cetera Investment Servces Llc St. Cloud MN 06/2017 Present
Cetera Investment Advisers Llc Montgomery NY 04/2018 Present
  • 02/2002 → Present
    Royalty Dry Cleaning Inc
    Walden, NY
  • 10/2015 → Present
    Walden Savings Bank
    Montgomery, NY
  • 06/2017 → Present
    Cetera Investment Servces Llc
    St. Cloud, MN
  • 04/2018 → Present
    Cetera Investment Advisers Llc
    Montgomery, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-02-24
  • S63 Uniform Securities Agent State Law Examination
    2015-02-24
Other Names
  • Dawn Dubaldi
  • Dawn Marie Dubaldi
  • Dawn Marie Sweed
  • Dawn Sweed

View on SEC IAPD

Other Firms

HV CAPITAL MANAGEMENT
LPL FINANCIAL LLC
EAGLE STRATEGIES LLC
OSAIC WEALTH, INC.
EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL ENTERPRISE, LLC
TRUNORTH FINANCIAL LLC

Other Investors

MARK ALAN LAZARCZYK
Melissa J. Mineau
RONALD PAULY MAYFIELD
DERRIK ROBERT WYNKOOP
GARRY MICHEL
MATTHEW JAY CARUSO
ALBERT JOHN DELORENZO
AMAN GOEL

Other Offices

HV CAPITAL MANAGEMENT · MONTGOMERY, NY
CETERA INVESTMENT ADVISERS LLC · MONTGOMERY, NY
LPL FINANCIAL LLC · NEWBURGH, NY
EAGLE STRATEGIES LLC · NEWBURGH, NY
OSAIC WEALTH, INC. · NEW WINDSOR, NY
EDWARD JONES · NEWBURGH, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Washingtonville, NY
OSAIC WEALTH, INC. · WASHINGTONVILLE, NY

More in Montgomery, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor