David R. Roettker

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CRD#: 1371124

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.

David Robert Roettker was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1985. David had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2002 - March 27, 2018

JOHNSON INVESTMENT COUNSEL, INC.

RIA

CRD#: 117054

CINCINNATI, OH

Past

March 19, 2001 - October 8, 2001

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

July 24, 1995 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

August 5, 1992 - July 18, 1995

FIFTH THIRD SECURITIES, INC.

CRD#: 3155

CINCINNATI, OH

Past

April 1, 1986 - June 17, 1992

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 23, 1985 - April 17, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

JOHNSON INVESTMENT COUNSEL, INC.

CRD#: 117054 / SEC#: 801-60676

RIA

Registered Investment Advisory firm - (11/20/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/1992

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/29/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/22/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOHNSON INVESTMENT COUNSEL, INC.

CRD#: 117054 / SEC#: 801-60676

RIA

Registered Investment Advisory firm - (11/20/2001 Approved)

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Contact information

Main Address

3777 West Fork Road, Cincinnati, OH 45247

Mailing Address

Phone number

(513) 661-3100

Established

Firm type

Fiscal year end

# of Employees

157

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOHNSON INVESTMENT COUNSEL, INC. ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	16,634
AUM (Assets Under Management)	$ 20,872,135,890

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/22/2025	Cover Page	Report
06/12/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

David R. Roettker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

JOHNSON INVESTMENT COUNSEL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1990

Series 7

Date: 8/4/1992

Series 22

Date: 7/29/1985

Series 6

Date: 5/22/1985

Current Firm

JOHNSON INVESTMENT COUNSEL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHNSON INVESTMENT COUNSEL, INC.

TRUST BUT VERIFY

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