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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

JASON SCOTT SWEDO

Advisor at CETERA INVESTMENT ADVISERS LLC

INVERNESS, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 7, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 7, 2001
First registration: Nov 6, 2002
Dual registered: yes, broker-dealer
Other names: JASON S. SWEDO|JASON SCOTT SWEDO|JASON S SWEDO
IAPD individual key: 4336671

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	INVERNESS, IL	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 7, 2017	Jun 9, 2021	no	INVERNESS, IL\|BROOKLYN PARK, MN\|WINDSOR, CT	Previous registration
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	Aug 10, 2015	Mar 6, 2017	no	CHICAGO, IL	Previous registration
CEDAR CAPITAL, LLC	Former SEC adviser	Feb 25, 2015	Mar 18, 2015	no	GLEN ELLYN, IL	Previous registration
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	Jan 2, 2014	Oct 20, 2014	no	CHICAGO, IL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 19, 2013	Jan 8, 2014	no	CHICAGO, IL	Previous registration
ASTOR ASSET MANAGEMENT LLC	Former SEC adviser	Jun 7, 2012	Jul 15, 2013	no	CHICAGO, IL	Previous registration
FIRST TRUST ADVISORS LP	Asset manager	Jan 25, 2010	May 10, 2012	no	WHEATON, IL	Previous registration
AMG DISTRIBUTORS, INC.	n/a	Oct 26, 2007	Dec 18, 2009	no	CHICAGO, IL\|STAMFORD, CT\|CHICAGO, IL	Previous registration
VAN KAMPEN ADVISORS INC	n/a	Jun 8, 2005	Oct 9, 2007	no	OAKBROOK TERRACE, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Nov 6, 2002	May 11, 2004	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VOYA FINANCIAL ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Jun 9, 2021	Jun 29, 2023	750	Bulk transfer	Ibd to ibd
ASTOR INVESTMENT MANAGEMENT LLC	VOYA FINANCIAL ADVISORS, INC.	Mar 6, 2017	Mar 7, 2017	1	Firm change	Other
CEDAR CAPITAL, LLC	ASTOR INVESTMENT MANAGEMENT LLC	Mar 18, 2015	Aug 10, 2015	145	Firm change	Other
ASTOR INVESTMENT MANAGEMENT LLC	CEDAR CAPITAL, LLC	Oct 20, 2014	Feb 25, 2015	128	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	ASTOR INVESTMENT MANAGEMENT LLC	Jan 8, 2014	Jan 2, 2014	-6	Firm change	Other
ASTOR ASSET MANAGEMENT LLC	B. RILEY WEALTH ADVISORS, INC.	Jul 15, 2013	Jul 19, 2013	4	Firm change	Other
FIRST TRUST ADVISORS LP	ASTOR ASSET MANAGEMENT LLC	May 10, 2012	Jun 7, 2012	28	Firm change	Other
AMG DISTRIBUTORS, INC.	FIRST TRUST ADVISORS LP	Dec 18, 2009	Jan 25, 2010	38	Firm change	Other
VAN KAMPEN ADVISORS INC	AMG DISTRIBUTORS, INC.	Oct 9, 2007	Oct 26, 2007	17	Firm change	Other
NUVEEN FUND ADVISORS, LLC	VAN KAMPEN ADVISORS INC	May 11, 2004	Jun 8, 2005	393	Firm change	Other

Relationships

Registered with (10)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 7, 2017 to Jun 9, 2021factForm ADV
→ ASTOR INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 10, 2015 to Mar 6, 2017factForm ADV
→ CEDAR CAPITAL, LLCRegistered adviserregistration: previous registration
Feb 25, 2015 to Mar 18, 2015factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 19, 2013 to Jan 8, 2014factForm ADV
→ ASTOR ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 7, 2012 to Jul 15, 2013factForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Jan 25, 2010 to May 10, 2012factForm ADV
→ AMG DISTRIBUTORS, INC.Registered adviserregistration: previous registration
Oct 26, 2007 to Dec 18, 2009factForm ADV
→ VAN KAMPEN ADVISORS INCRegistered adviserregistration: previous registration
Jun 8, 2005 to Oct 9, 2007factForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 6, 2002 to May 11, 2004factForm ADV

Dated events

No dated event names this entity yet.