TS
Thomas C. Swigert
CETERA INVESTMENT ADVISERS LLC
EVANSTON, IL
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CRD#: 1686025
TS
Professional summary
Thomas Cresap Swigert is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Evanston, Illinois and CETERA WEALTH SERVICES, LLC located in Evanston, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Cresap Swigert's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
EVANSTON, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Evanston, IL
Past
December 1, 2010 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Evanston, IL
Past
September 1, 1987 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Evanston, IL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
Michigan(9/5/2025)
RR
Oregon(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/22/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
