David Glen Roessner

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-24
TN	RA	APPROVED	2016-08-12

TX RA
APPROVED_RES

Since 2023-01-24
TN RA
APPROVED

Since 2016-08-12

Branch Locations

101 N Rutgers Ave, Oak Ridge, TN 37830 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Regions Bank	Oak Ridge	TN	08/2016	Present
Cetera Investment Advisers Llc	Oak Ridge	TN	08/2016	Present
Cetera Investment Services Llc	St.CLoud	MN	08/2016	Present

08/2016 → Present

Regions Bank

Oak Ridge, TN
08/2016 → Present

Cetera Investment Advisers Llc

Oak Ridge, TN
08/2016 → Present

Cetera Investment Services Llc

St.CLoud, MN

Previous Registrations

2013-05-02 → 2016-07-01

Fifth Third Securities, Inc.

Knoxville, TN
2011-06-06 → 2011-12-22

Morgan Stanley

Knoxville, TN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-06-03
S63	Uniform Securities Agent State Law Examination	2009-12-18

S65 Uniform Investment Adviser Law Examination

2011-06-03
S63 Uniform Securities Agent State Law Examination

2009-12-18

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews