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Jon Howard Rothenberg

Cetera Investment Advisers LLC

Dallas, TX

Schaumburg, IL

Mooresville, NC

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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
NC RA APPROVED 2026-06-10
TX RA APPROVED 2026-06-09
IL RA APPROVED 2008-01-28
  • NC RA
    APPROVED
    Since 2026-06-10
  • TX RA
    APPROVED
    Since 2026-06-09
  • IL RA
    APPROVED
    Since 2008-01-28

Branch Locations

3200 Olympus Blvd Ste 100, Dallas, TX 75019 • United States

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

Mooresville, NC • 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
Cetera Financial Specialists St. Cloud MN 03/2006 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2014 Present
Cetera Advisors Llc San Diego CA 01/2004 Present
Cetera Wealth Services, Llc El Segundo CA 01/2004 Present
  • 03/2006 → Present
    Cetera Financial Specialists
    St. Cloud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 01/2004 → Present
    Cetera Advisors Llc
    San Diego, CA
  • 01/2004 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-16
S63 Uniform Securities Agent State Law Examination 1996-07-01
  • S65 Uniform Investment Adviser Law Examination
    1996-09-16
  • S63 Uniform Securities Agent State Law Examination
    1996-07-01
Other Names
  • Jon H Rothenberh

View on SEC IAPD

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