Sharon K. Swarthout
Professional summary
Sharon Kay Swarthout, who also goes by Sharon Kay Dieken, Dieken, Sharon Kay Wright, Sharon Wright, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California and CETERA ADVISORS LLC located in El Segundo, California.
Sharon is registered as a RR (Registered Representative) and started their career in finance in 2001. Sharon has worked at 19 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sharon Kay Swarthout's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 1998 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245September 28, 2001 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245March 5, 2009 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245August 7, 2012 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245October 15, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 15, 2016 - December 31, 2016
LEGEND EQUITIES CORPORATION
March 24, 2015 - November 8, 2016
VSR FINANCIAL SERVICES, INC.
March 24, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
November 13, 2014 - November 8, 2016
INVESTORS CAPITAL CORP.
October 29, 2014 - November 10, 2014
REALTY CAPITAL SECURITIES, LLC
October 29, 2014 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
October 29, 2014 - December 14, 2016
LEGEND EQUITIES CORPORATION
October 29, 2014 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 29, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 2, 2014 - November 12, 2014
INVESTORS CAPITAL CORP.
March 5, 2009 - November 18, 2009
BANCNORTH INVESTMENT GROUP, INC.
March 5, 2009 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
October 11, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
September 27, 2001 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
September 26, 2001 - December 31, 2003
LOCUST STREET SECURITIES, INC.
September 26, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/1999)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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