Everett S. Swaim

CETERA INVESTMENT ADVISERS LLC

Lexington, NC

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CRD#: 1060728

Professional summary

Everett Shelton Swaim III, who also goes by III Everett Shelton Swaim, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lexington, North Carolina and CETERA WEALTH SERVICES, LLC located in Cazenovia, New York.

Everett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Everett has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Iii Everett Shelton Swaim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Everett Shelton Swaim III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Lexington, NC

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CAZENOVIA, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

February 17, 1998 - March 23, 2004

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

CAZENOVIA, NY

Past

June 17, 1996 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

CAZENOVIA, NY

Past

October 2, 1989 - June 5, 1996

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

June 25, 1987 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

February 12, 1986 - June 17, 1987

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

CRD#: 7303

Past

September 16, 1982 - August 19, 1985

CINCINNATI ANALYSTS, INC.

CRD#: 5478

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/3/2018)

New York
(9/3/2013)

IAR

New York
(6/29/2023)

North Carolina
(5/19/2022)

IAR

North Carolina
(4/9/2025)

Virginia
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Everett S. Swaim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Everett Shelton Swaim III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1982

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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