Gregory Lee Rothrock

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

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2017 → Present
  H&R Block
  Albuquerque, NM
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2021; APX NUMBER OF HOURS PER WEEK: LESS THAN 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2) NAME OF OTHER BUSINESS: H&R BLOCK ; INVESTMENT RELATED: NO ; ADDRESS: 8201 GOLF COURSE RD, A-4, ALBUQUERQUE, NM, 87120 ; NATURE OF BUSINESS: TAX PREPARATION ; START DATE: 11/2019 ; POSITION/TITLE/RELATIONSHIP:MASTER TAX ADVISOR/ENROLLED AGENT ; APX NUMBER OF HOURS PER WEEK: 25-30 (TRADING HOURS) 0; BRIEF DESCRIPTION OF DUTIES: RETAIL TAX PREPARATION, REPRESENT CLIENTS WITH IRS ; 3) NAME OF OTHER BUSINESS: MONTE VISTA CHRISTIAN CHURCH; INVESTMENT RELATED: NO; ADDRESS: 3501 CAMPUS BLVD NE, ALBUQUERQUE, NM 87106; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: FINANCE MINISTRY MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DEVELOP, ADMINISTER, SUPERVISE PROGRAMS TO ENSURE THE RESOURCES OF THE CONGREGATION ARE SAFEGUARDED AND THAT THE OPERATING, TEMPORARILY AND PERMANENT RESTRICTED ASSETS THROUGH CONTRIBUTION, BEQUEST, MEMORIALS OR OTHER MEANS ARE PROPERLY INVESTED AND EXPENDED;

Exams

• S66 Uniform Combined State Law Examination
  2004-01-09
• S65 Uniform Investment Adviser Law Examination
  1998-03-02
• S63 Uniform Securities Agent State Law Examination
  1995-09-12

Other Names

• Gregg Rothrock