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SS

Sharon K. Swarthout

CETERA INVESTMENT ADVISERS
EL SEGUNDO, CA 90245
Some features on this profile are disabled
CRD#: 3134253
SS
Sharon Kay SwarthoutCETERA INVESTMENT ADVISERS

Professional summary

Sharon Kay Swarthout, who also goes by Sharon Kay Dieken, Dieken, Sharon Kay Wright, Sharon Wright, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Sharon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sharon has worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Aliases

Sharon Kay Dieken | Dieken | Sharon Kay Wright | Sharon Wright

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sharon Kay Swarthout'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

March 11, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245
RIA
CRD#: 105644
EL SEGUNDO, CA
Current

December 16, 1998 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245
BD
CRD#: 13572
EL SEGUNDO, CA
Current

September 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 90245
BD
CRD#: 10299
EL SEGUNDO, CA
Current

March 5, 2009 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245
BD
CRD#: 15340
EL SEGUNDO, CA
Current

August 7, 2012 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245
BD
CRD#: 10358
EL SEGUNDO, CA
Past

October 15, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

December 15, 2016 - December 31, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

March 24, 2015 - November 8, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
el segundo, CA
Past

March 24, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
EL SEGUNDO, CA
Past

November 13, 2014 - November 8, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

October 29, 2014 - November 10, 2014

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

October 29, 2014 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
El Segundo, CA
Past

October 29, 2014 - December 14, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

October 29, 2014 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

October 29, 2014 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
EL SEGUNDO, CA
Past

October 2, 2014 - November 12, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

March 5, 2009 - November 18, 2009

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
ST. CLOUD, MN
Past

March 5, 2009 - December 31, 2010

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

October 11, 2001 - December 31, 2003

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

September 27, 2001 - February 1, 2010

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
EL SEGUNDO, CA
Past

September 26, 2001 - December 31, 2003

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

September 26, 2001 - December 31, 2003

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA

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
California
(1/1/1999)
IAR
California
(3/11/2026)
RR
Washington
(5/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/10/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/14/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2001
General Securities Principal Examination
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)
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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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644El Segundo, CA 90245

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