Cathi L Swan

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

• 08/2017 → 08/2023
  Baird
  Sioux City, IA
• 08/2016 → 05/2017
  Sioux City Community Schools
  Sioux City, IA
• 10/2023 → Present
  Security National Bank Of Sd (Dunes)
  Dakota Dunes, SD
• 10/2023 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 10/2023 → Present
  Cetera Investment Advisers Llc
  Dakota Dunes, SD

Previous Registrations

• 2022-04-20 → 2023-09-02
  Robert W. Baird & Co. Incorporated
  Sioux City, IA

Other Businesses

BOARD VICE PRESIDENT OF NORTH STARS BAND, INC; ATTEND MEETINGS, SIGNOR ON CHECKING ACCOUNT; REQUIRES DUAL SIGNATURES; 10 HRS/MOS

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-04-20
• S63 Uniform Securities Agent State Law Examination
  2022-02-15

Other Names

• Cathi Lynn Sohl