Roy Paul Niggebrugge

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1998 → 12/2020
  Gilman & Ciocia
  Tampa, FL
• 11/2013 → 12/2020
  National Securities Corporation
  Tampa, FL
• 12/2020 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 12/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 06/2023 → Present
  Grahn Family Farm, Llc
  Dade City, FL

Previous Registrations

• 2014-05-06 → 2020-12-22
  B. Riley Wealth Advisors, Inc.
  Clearwater, FL
  Tampa, FL
  Port Richey, FL
  Tampa, FL
• 2001-02-21 → 2014-05-06
  Asset & Financial Planning, Ltd
  Tampa, FL
  Tampa, FL
  Tampa, FL

Other Businesses

1)GRAHN BRANDS CUISINE LLC; LAND O LAKES, FL; NON-INVESTMENT RELATED; OWN AND OPERATE FOOD TRUCK; 10HRS/MO 2) NAME OF OTHER BUSINESS: GENERATIONS TAX & WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA & WEALTH MANAGEMENT FIRM ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA / FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENTS, ACCOUNTING & BOOKKEEPING ; 3) NAME OF OTHER BUSINESS: GRAHN TAX LLC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PREPARATION ; START DATE: 11/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 15-20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 15-20 ; BRIEF DESCRIPTION OF DUTIES: TAX PREARATION, PREPARE 1040S ; 4) NAME OF OTHER BUSINESS: GRAHN FAMILY FARM, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FARM; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 15-25; APX NUMBER OF HOURS DURING TRADING HOURS: 15-25; BRIEF DESCRIPTION OF DUTIES: SOLE PROPRIETOR;

Exams

• S66 Uniform Combined State Law Examination
  2005-01-24
• S63 Uniform Securities Agent State Law Examination
  2000-01-05