Individual Firm
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Clayton Sweet
CRD#: 6832155
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 3936 Avenue B Suite A
Billings, MT 59102
Billings, MT 59102
CETERA ADVISOR NETWORKS LLCCRD#: 13572 108 1ST ST STE 1
HAVRE, MT 59501
HAVRE, MT 59501
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Disclosures
7
Years of Experience
View By:
State Registrations
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Alaska 4/18/2023
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Montana 6/29/2023
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Arizona 1/5/2023
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New Mexico 6/16/2023
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California 6/9/2021
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North Carolina 4/18/2023
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Colorado 1/5/2023
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Oklahoma 4/18/2023
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Florida 4/18/2023
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Oregon 4/18/2023
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Georgia 4/18/2023
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Pennsylvania 3/28/2023
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Idaho 1/5/2023
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South Carolina 4/18/2023
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Illinois 1/5/2023
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South Dakota 1/5/2023
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Indiana 3/1/2023
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Texas 7/28/2021
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Iowa 7/8/2022
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Texas 6/29/2023
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Kentucky 2/21/2025
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Utah 6/9/2021
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Louisiana 4/18/2023
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Washington 3/8/2022
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Minnesota 8/2/2024
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Wyoming 4/18/2023
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Montana 6/9/2021
SRO Registrations
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Registered with this firm since 6/29/2023
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Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 06/29/2023 | Billings, MT | |
IA | 10/25/2017 - 06/09/2021 | HAVRE, MT | |
B | 08/25/2017 - 06/09/2021 | HAVRE, MT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.