RR
Randy L. Roesler
CETERA INVESTMENT ADVISERS LLC
Saukville, WI 53080
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CRD#: 2144474
RR
Professional summary
Randy Lee Roesler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Saukville, Wisconsin and CETERA ADVISORS LLC located in Saukville, Wisconsin.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Randy has worked at 8 firms and has passed the 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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2013 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, DISABILITY AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: ROESLER AND ASSOCIATES WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 11/2018 ; POSITION/TITLE/RELATIONSHIP: OSJ, PRINCIPAL ; APX NUMBER OF HOURS PER WEEK: 60 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INSURANCE, TAX PLANNING, INVESTMENTS, RETIREMENT AND ESTATE PLANNING ; 3. NAME OF OTHER BUSINESS: LAND LEASE; INVESTMENT RELATED: NO; ADDRESS: 4002 COUNTRY ROAD I SAUKVILLE WI 53080; NATURE OF BUSINESS: LEASE AGRICULTURAL LAND; START DATE: 7/2020 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: LEASE AGRICULTURAL LAND FOR FARMING; 4. NAME OF OTHER BUSINESS: WHITNALL PARK # 2 CONDO ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 10154 WHITNALL EDGE DR FRANKLIN, WI 53132; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MEET AND VOTE ON AFFAIRS FOR THE BENEFIT OF THE ASSOCIATION;
CRS (Client Relationship Summary) - RIA
Click below to view Randy Lee Roesler'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: 4002 County Rd I, Saukville, WI 53080RIA
CRD#: 105644
Saukville, WI
Current
April 15, 2013 - Present
CETERA ADVISORS LLC
Office #1: 4002 County Rd I, Saukville, WI 53080BD
CRD#: 10299
Saukville, WI
Past
April 12, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 9, 2004 - March 22, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAUKVILLE, WI
Past
July 9, 2004 - March 22, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SAUKVILLE, WI
Past
September 26, 2002 - July 14, 2004
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
January 25, 2002 - September 19, 2002
ALLMERICA INVESTMENT MANAGEMENT CO INC
RIA
CRD#: 105796
MILWAUKEE, WI
Past
December 10, 2001 - September 16, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
December 12, 1991 - November 30, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 12, 1991 - November 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(8/19/2013)
RR
Colorado(6/28/2013)
RR
Florida(5/22/2013)
RR
Illinois(4/15/2013)
RR
Indiana(4/17/2013)
RR
Kansas(7/10/2018)
RR
Michigan(9/20/2016)
RR
Minnesota(2/19/2014)
RR
Missouri(4/10/2019)
RR
New Mexico(9/29/2017)
RR
Ohio(4/15/2013)
RR
South Carolina(6/6/2013)
RR
Texas(4/15/2013)
IAR
Texas(3/21/2024)
RR
Virginia(6/17/2025)
RR
Wisconsin(4/15/2013)
IAR
Wisconsin(3/21/2024)
Exams
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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Saukville, WI 53080TRUST BUT VERIFY
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