Roger A. Zessin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Alan Zessin was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1982. Roger had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2020 - December 11, 2020
CETERA INVESTMENT ADVISERS LLC
July 25, 2017 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
May 9, 2017 - December 11, 2020
FIRST ALLIED SECURITIES, INC.
January 1, 2008 - May 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 24, 1982 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/19/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
