Thomas Cresap Swigert

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

• 12/1981 → Present
  Swigert & Associates, Inc. (An Il. Corp.
  Evanston, IL
• 07/1983 → Present
  Prime Focus, Inc. (An Illinois Corporati
  Evanston, IL
• 09/1987 → 09/2025
  Avantax Investment Services, Inc.
  Evanston, IL
• 09/1993 → 09/2025
  Avantax Advisory Services
  Evanston, IL
• 01/1988 → 09/2025
  Avantax Insurance Agency, Llc
  Evanston, IL
• 12/1981 → Present
  Swigert & Associates, Inc
  Evanston, IL
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Evanston, IL
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-12-01 → 2025-09-05
  Avantax Advisory Services
  Evanston, IL
  Evanston, IL

Other Businesses

1) VERNE W SWIGERT ESTATE TRUST POSITION: Chief Executive Officer NATURE: Farming/Agriculture/Dairy INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1995 ADDRESS: 29 Salem Lane, Evanston IL 60203, United States DESCRIPTION: farm trust, trustee. 2) Swigert & Associates~'NIR'~505 Chicago Avenue~Evanston~IL~60202~Independent Insurance Agent~Insurance Sales Agent~2/1/1988~6hrs~2hrs~Sales, marketing & service on life, health & annuity insurance. 3) SWIGERT & ASSOCIATES, INC POSITION: President NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 30 START DATE: 12/01/1981 ADDRESS: 29 Salem Lane, Evanston IL 60203, United States DESCRIPTION: I prepare income taxes, but mostly review the work of other preparers -- I am the knowledge base with answers for the staff. I am an Enrolled Agent, so I also communicate with governmental agencies for clients. 4) National Foundation For Prevention of Chemical Dep~'NIR'~1177 Niagara Street~Denver~CO~80220~Club/Association Director/Officer~Director/Officer~1/23/2013~1hrs~1hrs~Board Director of NE NonProfit Corporation sponsoring scientific research. 5) PRIME FOCUS, INC POSITION: President NATURE: Product Sales/Marketing/Leasing Misc. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1983 ADDRESS: 29 Salem Lane, Evanston IL 60203, United States DESCRIPTION: permanent employee leasing to business firms. 6) NORTHMINSTER PRESBYTERIAN CHURCH; POSITION: Director/Officer NATURE: Church Pastor/Priest INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1983 ADDRESS: Northminster Presbyterian Church, 2515 Central Park Avenue, Evanston IL 60201, United States DESCRIPTION: Unpaid ordained elder & deacon of this church. In June, 2021, I was invited to be a unpaid volunteer on the church Endowment Committee. The Endowment funds are managed by an outside Advisory Firm, and all decisions are made by the Church minister and church Treasurer. My role, with the rest of the committee is to listen to the quarterly presentation by the outside advisor.I have no trading authority over these funds.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-11-17
• S63 Uniform Securities Agent State Law Examination
  1987-08-25