Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sharon? Claim Your ProfileSharon Kay Swarthout is a financial advisor who has been in the industry since 1998. Sharon is currently registered with Cetera Financial Specialists LLC, Cetera Investment Services LLC, Cetera Advisors LLC, and Cetera Advisor Networks LLC. Sharon has previously been registered with First Allied Securities, Inc., Summit Brokerage Services, Inc., Girard Securities, Inc., Legend Equities Corporation, VSR Financial Services, Inc., Investors Capital Corp., J.P. Turner & Company, L.L.C., Realty Capital Securities, LLC, Guaranty Brokerage Services, Inc., ING Financial Partners, Inc., BancNorth Investment Group, Inc., Vestax Securities Corporation, IFG Network Securities, Inc., and Locust Street Securities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
08/07/2012 - Present
Cetera Financial Specialists LLC (EL SEGUNDO CA)
CA
10/29/2014 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (EL SEGUNDO CA)
CA
10/29/2014 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (EL SEGUNDO CA)
CA
03/24/2015 - 11/01/2017
GIRARD SECURITIES, INC. (EL SEGUNDO CA)
CA
12/15/2016 - 12/31/2016
LEGEND EQUITIES CORPORATION (El Segundo CA)
CA
10/29/2014 - 12/14/2016
LEGEND EQUITIES CORPORATION (El Segundo CA)
CA
03/24/2015 - 11/08/2016
VSR FINANCIAL SERVICES, INC. (el segundo CA)
CA
11/13/2014 - 11/08/2016
INVESTORS CAPITAL CORP. (EL SEGUNDO CA)
CA
10/29/2014 - 12/23/2015
J.P. TURNER & COMPANY, L.L.C. (El Segundo CA)
MA
10/02/2014 - 11/12/2014
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
NY
10/29/2014 - 11/10/2014
REALTY CAPITAL SECURITIES, LLC (NEW YORK CITY NY)
MN
03/05/2009 - 12/31/2010
GUARANTY BROKERAGE SERVICES, INC. (ST. CLOUD MN)
CA
09/27/2001 - 02/01/2010
ING FINANCIAL PARTNERS, INC. (EL SEGUNDO CA)
MN
03/05/2009 - 11/18/2009
BANCNORTH INVESTMENT GROUP, INC. (ST. CLOUD MN)
OH
10/11/2001 - 12/31/2003
VESTAX SECURITIES CORPORATION (HUDSON OH)
GA
09/26/2001 - 12/31/2003
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
IA
09/26/2001 - 12/31/2003
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
BC
Issued 12/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 08/27/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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