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Detailed Report
Cathi L Swan
Cathi Lynn Sohl
CRD#: 6848697
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 601 PIERCE STREET
SIOUX CITY, IA 51101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 601 PIERCE STREET
SIOUX CITY, IA 51101
Registration History
2021202220232024202520262 FIRMS2023 - Present (1 year)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2021 - 2023 (1 year)IAROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2022 - 2023 (1 year)
License(s)

State Registrations

B
Iowa 10/23/2023
IA
Iowa 10/23/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
601 PIERCE STREET, SIOUX CITY, IA 51101
Registered with this firm since 10/23/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
601 PIERCE STREET, SIOUX CITY, IA 51101
Registered with this firm since 10/23/2023
Previous Registration(s)
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IA
 04/20/2022 - 09/02/2023 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) SIOUX CITY, IA
B
 12/18/2021 - 09/02/2023 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) SIOUX CITY, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.