Jason S. Swedo

CETERA INVESTMENT ADVISERS LLC

INVERNESS, IL

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CRD#: 4336671

Professional summary

Jason Scott Swedo, who also goes by Jason S Swedo, Jason S. Swedo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Inverness, Illinois and CETERA WEALTH SERVICES, LLC located in Inverness, Illinois.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason S Swedo | Jason S. Swedo

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.

NAME OF ENTITY:SWEDO PROPERTIES; No; 5 N WAHSH COND; CHICAGO; IL; 60602; RENTAL PROPERTY; OWNER; 9/1/2003; 1; 0; MAINTAIN PROPERTY AND COLLECT RENT|NAME OF ENTITY:JD POWER; No; 320 E BIG BEAVER RD #500; TROY; MI; 48083; CONSULTING SERVICES; ACCOUNT DIRECTOR/RELATIONSHIP MANAGER; 1/9/2017; 80; 80; RELATIONSHIP MANAGEMENT TEAM THAT SELLS SYNDICATED RESEARCH AND CONSULTING SERVICES.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1718 Appleby Rd; Inverness; IL; 60067; Fixed Insurance Sales; INDEPENDENT INSURANCE AGENT; 12/1/2019; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Scott Swedo'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

INVERNESS, IL

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

INVERNESS, IL

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 7, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

INVERNESS, IL

Past

March 2, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

INVERNESS, IL

Past

August 10, 2015 - March 6, 2017

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

July 27, 2015 - February 1, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 25, 2015 - March 18, 2015

CEDAR CAPITAL, LLC

RIA

CRD#: 174020

CHICAGO, IL

Past

November 26, 2014 - July 10, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

January 2, 2014 - October 20, 2014

ASTOR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169679

CHICAGO, IL

Past

July 19, 2013 - January 8, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

July 18, 2013 - June 11, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

July 2, 2012 - July 15, 2013

VIRTU AMERICAS LLC

CRD#: 149823

NEW YORK, NY

Past

June 7, 2012 - July 15, 2013

ASTOR ASSET MANAGEMENT LLC

RIA

CRD#: 116408

CHICAGO, IL

Past

June 7, 2012 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

January 25, 2010 - May 10, 2012

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

January 25, 2010 - May 10, 2012

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

October 26, 2007 - December 18, 2009

AMG DISTRIBUTORS, INC.

RIA

CRD#: 27314

CHICAGO, IL

Past

October 26, 2007 - December 18, 2009

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

June 8, 2005 - October 9, 2007

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

May 10, 2004 - October 9, 2007

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

November 6, 2002 - May 11, 2004

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

February 22, 2001 - May 6, 2004

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, 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".

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

Alabama
(6/9/2021)

Arizona
(6/9/2021)

Arkansas
(6/9/2021)

California
(6/9/2021)

Colorado
(6/9/2021)

Florida
(6/10/2021)

Georgia
(6/9/2021)

Illinois
(6/9/2021)

IAR

Illinois
(6/29/2023)

Indiana
(6/9/2021)

Iowa
(6/9/2021)

Kentucky
(6/9/2021)

Massachusetts
(6/9/2021)

Michigan
(6/9/2021)

Minnesota
(6/9/2021)

Missouri
(6/9/2021)

Nebraska
(6/9/2021)

Nevada
(1/3/2022)

New Hampshire
(6/9/2021)

New Mexico
(6/9/2021)

New York
(6/9/2021)

North Carolina
(6/9/2021)

Ohio
(6/9/2021)

Pennsylvania
(6/9/2021)

Tennessee
(2/2/2024)

Texas
(6/9/2021)

IAR

Texas
(6/29/2023)

Virginia
(6/9/2021)

Wisconsin
(6/9/2021)

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

IAR

Series 65

Date: 11/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/2001

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: 2/21/2001

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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Advisor Monitoring

Firm Stability Insights

Jason S. Swedo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Scott Swedo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

ASTOR INVESTMENT MANAGEMENT LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

CEDAR CAPITAL, LLC

FORESIDE FUND SERVICES, LLC

ASTOR INVESTMENT MANAGEMENT LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

VIRTU AMERICAS LLC

ASTOR ASSET MANAGEMENT LLC

KNIGHT CAPITAL AMERICAS, L.P.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

AMG DISTRIBUTORS, INC.

AMG DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2002

Series 63

Date: 8/7/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/21/2001

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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