RV
Roger W. Vanpelt
CETERA INVESTMENT ADVISERS LLC
PIPERSVILLE, PA 18947
Some features on this profile are disabled
CRD#: 1742560
RV
Professional summary
Roger Wesley Vanpelt is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pipersville, Pennsylvania and CETERA ADVISORS LLC located in Pipersville, Pennsylvania.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1. NAME OF OTHER BUSINESS: VAN PELT WEALTH ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2005; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2023; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Roger Wesley Vanpelt'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6055 A Kellers Church Road, Pipersville, PA 18947RIA
CRD#: 105644
PIPERSVILLE, PA
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 6055 A Kellers Church Road, Pipersville, PA 18947BD
CRD#: 10299
Pipersville, PA
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
March 3, 2000 - August 31, 2007
TYLER WEALTH COUNSELORS, INC.
RIA
CRD#: 110232
WEST CHESTER, PA
Past
December 14, 1999 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
WEST CHESTER, PA
Past
November 29, 1990 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
November 19, 1989 - October 24, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 24, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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
Arizona(7/28/2016)
RR
California(1/4/2007)
RR
Colorado(11/17/2010)
RR
Connecticut(1/28/2025)
RR
Delaware(1/1/2004)
RR
District of Columbia(7/28/2015)
RR
Florida(1/1/2004)
RR
Georgia(11/17/2010)
RR
Illinois(11/17/2010)
RR
Indiana(5/19/2008)
RR
Maine(10/5/2023)
RR
Maryland(1/4/2007)
RR
Massachusetts(8/8/2012)
RR
Michigan(10/25/2005)
RR
New Jersey(1/1/2004)
RR
New York(1/2/2019)
RR
North Carolina(1/1/2004)
RR
Ohio(1/1/2004)
RR
Pennsylvania(1/1/2004)
IAR
Pennsylvania(3/21/2024)
RR
South Carolina(1/1/2004)
RR
Texas(11/17/2010)
IAR
Texas(3/21/2024)
RR
Virginia(1/1/2004)
RR
Washington(11/17/2010)
RR
Wisconsin(12/5/2024)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Pipersville, PA 18947TRUST BUT VERIFY
Monitor Roger Vanpelt
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
