Cathi Swan is a registered investment advisor, based in Sioux City, IA, with 4 years of industry experience.
Location
601 Pierce Street, Sioux City, IA, 51101
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Cathi is the Board Vice President of North Stars Band, Inc., attending meetings and acting as a signatory on the checking account. This requires dual signatures and takes a few hours per week.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
October 2023 - Present · 2 yrs 7 mos
Cetera Investment Advisers LLC
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
Robert W. Baird & CO. Incorporated
April 2022 - September 2023 · 1 yr 5 mos
Robert W. Baird & CO. IncorporatedBroker
December 2021 - September 2023 · 1 yr 9 mos
State Registrations1 state
IA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.