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Stephen Lee Roberts

Cetera Investment Advisers LLC

Indianapolis, IN

Mccordsville, IN

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-24
IN RA APPROVED 2019-06-19
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • IN RA
    APPROVED
    Since 2019-06-19

Branch Locations

10194 Crosspoint Boulevard Suite # 100, Indianapolis, IN 46256 • United States

Mccordsville, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foresters Financial Indianapolis IN 03/2011 06/2019
Foresters Advisory Services, Llc Indianapolis IN 04/2015 06/2019
Real Estate Investor Indianapolis IN 03/2017 05/2019
Stephen L. Roberts Llc Indianapolis IN 04/2018 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Indianapolis IN 06/2019 Present
  • 03/2011 → 06/2019
    Foresters Financial
    Indianapolis, IN
  • 04/2015 → 06/2019
    Foresters Advisory Services, Llc
    Indianapolis, IN
  • 03/2017 → 05/2019
    Real Estate Investor
    Indianapolis, IN
  • 04/2018 → Present
    Stephen L. Roberts Llc
    Indianapolis, IN
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Indianapolis, IN
Previous Registrations
  • 2015-05-07 → 2019-06-24
    Foresters Advisory Services, Llc
    Indianapolis, IN
Other Businesses

THREE OAKS FINANCIAL PLANNING LLC, DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-27
S63 Uniform Securities Agent State Law Examination 2011-06-20
  • S65 Uniform Investment Adviser Law Examination
    2015-04-27
  • S63 Uniform Securities Agent State Law Examination
    2011-06-20

View on SEC IAPD

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