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Stephen Brent Roesner

Cetera Investment Advisers LLC

Fairmont, MN

New Prague, MN

CRD 3214381

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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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-01-21
  • MN RA
    APPROVED
    Since 2014-01-21

Branch Locations

105 Lake Avenue, Fairmont, MN 56031 • United States

New Prague, MN • 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
Profinium Fairmont MN 06/2006 Present
Cetera Investment Services Llc St. Cloud MN 01/2011 Present
Cetera Investment Advisers Llc Fairmont MN 01/2014 Present
  • 06/2006 → Present
    Profinium
    Fairmont, MN
  • 01/2011 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Fairmont, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-05-08
  • S63 Uniform Securities Agent State Law Examination
    1999-05-08
Other Names
  • Steve Roesner

View on SEC IAPD

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