KR
Kathleen W. Roat
CETERA INVESTMENT ADVISERS LLC
ORLANDO, FL 32804
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CRD#: 1321883
KR
Professional summary
Kathleen Webb Roat, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orlando, Florida and CETERA WEALTH SERVICES, LLC located in Orlando, Florida.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kathleen has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(dba) KATHLEEN ROAT & COMPANY INC; 1115 Edgewater Drive, Orlando, FL 32804; 1) Insurance; Investment Related; Owner; Start Date 06/1995; 20 hours per month with 5 of those hours per month occurring during trading hours; Sales and service of Annuity, Long-Term Care, Accident/Health and Disability Income insurance products. I also offer Identity Theft insurance. 2) Tax Preparation; Non-Investment Related; President/Owner; Start Date 06/1995; 40 hours per month with some of those hours per month occurring during trading hours; Prepare and file business and personal tax returns. >> KRWEBB LLC; Non-Investment Related; 1115 Edgewater Drive, Orlando, FL 32804; Rental Property; Owner; Start Date 02/2017; 1 hour per month with no hours during trading hours; Receive rental income, pay mortgage and sales tax each month.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Webb Roat's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1115 Edgewater Drive, Orlando, FL 32804RIA
CRD#: 105644
ORLANDO, FL
Current
February 18, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1115 Edgewater Drive, Orlando, FL 32804BD
CRD#: 13572
ORLANDO, FL
Past
July 29, 2021 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ORLANDO, FL
Past
August 29, 2017 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ORLANDO, FL
Past
January 30, 1985 - September 13, 2017
OSAIC FS, INC.
BD
CRD#: 3870
ORLANDO, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(2/18/2025)
IAR
Florida(2/20/2025)
RR
Illinois(5/12/2025)
RR
Massachusetts(3/18/2025)
RR
New York(10/24/2025)
RR
North Carolina(5/30/2025)
RR
Pennsylvania(3/20/2025)
RR
South Carolina(4/8/2025)
RR
Virginia(4/21/2025)
RR
West Virginia(3/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
