Everett Shelton Swaim

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

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/1990 → Present
  The Swaim Agency
  Cazenovia, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 1998-02-17 → 2004-03-23
  Tower Square Securities, Inc.
  Cazenovia, NY
  Cazenovia, NY

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: THE SWAIM AGENCY INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AGENCY START DATE: JULY 1990 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: AGENCY OWNER, SELLS INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: OFF PRESTON HILL ROAD, HAMILTON, NY NATURE OF BUSINESS: TIMBER START DATE: 02/2006 POSITION/TITLE/RELATIONSHIP: PARTNER WITH SPOUSE LESS THAN ONE HOUR PER WEEK NONE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: TIMBER LOGGING LEASE ON OWNED PROPERTY

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-08-21

Other Names

• Iii Everett Shelton Swaim