David Roessner, financial advisor Oak Ridge TN

David Roessner

CRD Number: 5568932
Current Firm: Cetera Investment Advisers LLC

David Roessner (CRD# 5568932) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Oak Ridge, TN and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Regions Bank Oak Ridge, TN Aug 2016 - Current 7
Cetera Investment Advisers LLC Oak Ridge, TN Aug 2016 - Current 7
Cetera Investment Services LLC St.cloud, MN Aug 2016 - Current 7
Fifth Third Securities Knoxville, TN Mar 2013 - Jul 2016 3
Fifth Third Bank Knoxville, TN Apr 2012 - Jul 2016 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2009
S65 NASAA Investment Advisors Law Examination Jun 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for David G. Roessner
Phone Number: 888-528-2987
Registered State(s):
  • TN
  • TX
By the Numbers
  • Total Assets Under Management
    33,356
    MILLIONS
  • Total Number of Accounts
    176,986
    ACCOUNTS
  • Average Account Value
    $188,469
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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