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Adviser and broker representative · Cetera Investment Advisers LLC

Cathi L. Swan

CRD 6848697 · Sioux City, IA

At a glance

Cathi L. Swan is an investment adviser representative with Cetera Investment Advisers LLC in Sioux City, IA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Cathi’s SEC record dates to 2022, about 4 years ago. Cathi is also registered as a broker representative.

Current advisory firm

SEC adviser record

Registered since
2022 (4 years)
Designations
None on file
Exams
Series 63, Series 65
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Cathi’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

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