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David Roessner
15 Years of Experience
Oak Ridge, TN
3 DisclosuresBroker
David Roessner is a registered investment advisor at Cetera Investment Advisers LLC, based in Oak Ridge, TN, with 15 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
101 N Rutgers Ave, Oak Ridge, TN, 37830
Get directionsHistory
Regulatory History (3)
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Customer Dispute
November 2024Closed-No Action
Customer Dispute
June 2018Settled
Customer Dispute
February 2018Settled
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2016 - Present · 9 yrs 11 mos
Cetera Investment Services LLCBroker
August 2016 - Present · 9 yrs 11 mos
Previous Registrations
Fifth Third Securities, INC.Broker
May 2013 - July 2016 · 3 yrs 2 mos
Fifth Third Securities, INC.
May 2013 - July 2016 · 3 yrs 2 mos
Morgan Stanley Smith Barney LLC
June 2011 - December 2011 · 6 mos
Morgan Stanley Smith BarneyBroker
May 2011 - December 2011 · 7 mos
Suntrust Investment Services, INC.Broker
August 2009 - March 2011 · 1 yr 7 mos
State Registrations17 states
ALCAFLGAILINKYMIMONCNENVOHSCTNTXUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.