Steven L. Rosauer

CETERA INVESTMENT ADVISERS LLC

WASHBURN, IA

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CRD#: 1430396

Professional summary

Steven Lee Rosauer, CFP®, who also goes by Steve Rosauer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Washburn, Iowa and CETERA WEALTH SERVICES, LLC located in Washburn, Iowa.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Rosauer

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.

(1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 7136 LA PORTE ROAD; WASHBURN; IA; 50702; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/30/2013; 120; 60; SALES OF FIXED INSURANCE PRODUCTS| (2) NAME OF ENTITY:ROSAUER FINANCIAL; Yes; 7136 LA PORTE ROAD; WASHBURN; IA; 50702; FINANCIAL SERVICES/DBA; OWNER; 6/1/1981; 250; 120; INSURANCE & INVESTMENT SALES| (3) NAME OF ENTITY:STEVEN L ROSAUER- NOTARY; No; 7136 LA PORTE ROAD; WASHBURN; IA; 50702; NOTARY PUBLIC; NOTARY; 2/7/2017; 1; 1; NOTARIZE DOCUMENTS| (4) NAME OF OTHER BUSINESS: THE MOOSE LODGE 328, WATERLOO, IA, INVESTMENT RELATED: NO, ADDRESS: 6636 LA PORTE ROAD, WATERLOO, IA 50702, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: CLUB CHAPLAIN, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDE SPIRITUAL GUIDANCE TO MEMBERS AND THEIR FAMILIES. VISIT SICK MEMBERS. PRESIDE IN THE ABSENCE OF PRESIDENT AND VICE PRESIDENT;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Rosauer's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WASHBURN, IA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WASHBURN, IA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 21, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WASHBURN, IA

Past

June 11, 2013 - June 26, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WASHBURN, IA

Past

April 30, 2013 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WASHBURN, IA

Past

December 6, 2011 - November 1, 2012

PARKLAND SECURITIES, LLC

CRD#: 115368

WASHBURN, IA

Past

April 12, 1991 - December 12, 2011

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

WASHBURN, IA

Past

January 2, 1991 - April 15, 1991

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

MARBLE FALLS, TX

Past

October 31, 1989 - December 31, 1990

T.L. REED SECURITIES, INC.

CRD#: 19875

Past

May 25, 1988 - March 1, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(6/14/2021)

Colorado
(9/8/2021)

Illinois
(6/9/2021)

Iowa
(6/9/2021)

IAR

Iowa
(6/29/2023)

Kansas
(11/10/2021)

Wyoming
(5/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/23/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Steven L. Rosauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Rosauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PARKLAND SECURITIES, LLC

GROVE POINT INVESTMENTS, LLC

DOMINION INVESTOR SERVICES, INC.

T.L. REED SECURITIES, INC.

SOURCE SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/4/1992

Series 6

Date: 5/23/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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