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DAVID GLEN ROESSNER
CRD#: 5568932
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 101 N RUTGERS AVE
OAK RIDGE, TN 37830
CETERA INVESTMENT SERVICES LLCCRD#: 15340 101 N RUTGERS AVE
OAK RIDGE, TN 37830
Registration History
2010201220142016201820202022202420262 FIRMS2011 - 2011 (<1 year)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2009 - 2011 (1 year)
Disclosure(s)
View By:
11/20/2024
Customer Dispute
Closed-No Action
6/13/2018
Customer Dispute
Settled
2/14/2018
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/12/2021

B
Nevada 3/27/2023

B
California 10/5/2023

B
North Carolina 2/26/2021

B
Florida 7/24/2017

B
Ohio 6/13/2023

B
Georgia 8/11/2016

B
South Carolina 8/8/2023

B
Illinois 4/7/2017

B
Tennessee 8/12/2016

B
Indiana 2/20/2023

IA
Tennessee 8/12/2016

B
Kentucky 9/8/2016

B
Texas 1/27/2017

B
Michigan 4/11/2017

IA
Texas 1/24/2023

B
Missouri 6/12/2017

B
Utah 12/19/2023

B
Nebraska 2/17/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
101 N RUTGERS AVE, OAK RIDGE, TN 37830
Registered with this firm since 8/12/2016

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
101 N RUTGERS AVE, OAK RIDGE, TN 37830
Registered with this firm since 8/11/2016

Previous Registration(s)
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IA
05/02/2013 - 07/01/2016 FIFTH THIRD SECURITIES, INC. (CRD#:628) KNOXVILLE, TN
B
05/02/2013 - 07/01/2016 FIFTH THIRD SECURITIES, INC. (CRD#:628) KNOXVILLE, TN
IA
06/06/2011 - 12/22/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) KNOXVILLE, TN
B
05/03/2011 - 12/22/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) KNOXVILLE, TN
B
08/03/2009 - 03/11/2011 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) KNOXVILLE, TN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.