John B. Roeckel
Professional summary
John Bernard Roeckel Sr., who also goes by John B. Roeckel Sr., John B. Roeckel, John Bernard Roeckel, John Roeckel, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Easton, Pennsylvania and CETERA FINANCIAL SPECIALISTS LLC located in Easton, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Bernard Roeckel Sr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2857 Nazareth Rd Ste 213, Easton, PA 18045Office #2: 151 Fries Mill Rd Ste 201, Turnersville, NJ 08012March 31, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2857 Nazareth Rd Ste 213, Easton, PA 18045Office #2: 151 Fries Mill Rd Ste 201, Turnersville, NJ 08012February 29, 2008 - October 20, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
February 29, 2008 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
January 3, 2005 - February 17, 2005
NRP FINANCIAL, INC.
May 4, 2004 - April 2, 2008
NRP FINANCIAL, INC.
August 1, 2003 - May 6, 2004
WALNUT STREET SECURITIES, INC.
October 24, 2002 - April 6, 2023
FUHRMAN MANAGEMENT ASSOCIATES, INC.
July 1, 1999 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
July 1, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 2, 1998 - July 8, 1999
BURNHAM SECURITIES INC.
November 25, 1997 - April 8, 1998
FUHRMAN - MATT SECURITIES, INC.
June 26, 1996 - September 25, 1997
LOCUST STREET SECURITIES, INC.
August 13, 1992 - June 21, 1996
J.P. MORGAN CLEARING CORP.
March 4, 1992 - June 21, 1996
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2023)
(6/14/2024)
(3/31/2023)
(4/4/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Easton, PA 18045TRUST BUT VERIFY
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