John Sweeden: Cetera Advisor Receives Forgery Complaint

Richardson, Texas financial advisor John Sweeden (CRD# 1662776) recently received an investor complaint alleging forgery and other misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.

Mr. Sweeden’s BrokerCheck report discloses one investor complaint. Filed in September 2026, it alleges that the customer’s “signature was forged and assets siphoned out.” The pending complaint alleges unspecified damages.

Investors should be aware that the misappropriation of customer funds may be considered a violation of FINRA Rule 2150, which states that no FINRA-associated person “shall make improper use of a customer’s securities or funds.” It may also be considered a violation of FINRA Rule 2010, which stipulates that brokers like Mr. Sweeden must “observe high standards of commercial honor and just and equitable principles of trade” in the conduct of their business. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority, John Sweeden holds 39 years of securities industry experience. Based in Richardson, Texas, he has been registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers since 2025. His past registrations include Avantax Advisory Services and Avantax Investment Services. His credentials include the passage of eight securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 40 state licenses. (Information current as of October 12, 2026.)

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