Ronnie W. Rochelle

CETERA INVESTMENT ADVISERS LLC

KNOXVILLE, TN 37919

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CRD#: 2188368

Professional summary

Ronnie Wayne Rochelle, CFP®, who also goes by Ron Wayne Rochelle, Ron Rochelle, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Knoxville, Tennessee and CETERA WEALTH SERVICES, LLC located in Knoxville, Tennessee.

Ronnie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Ronnie has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Wayne Rochelle | Ron Rochelle

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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 2005, 4HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS HEALTH, AND LONG-TERM CARE; 2. DESIGNSENSORY, POPFIZZ NOT INVESTMENT RELATED, 1740 COMMONS POINT DRIVE, KNOXVILLE, TN 37932, WEBSITE DESIGN, START 01/2002, 20HRS/WK (TRADING HOURS), CFO ACCOUNTING; 3. NAME OF OTHER BUSINESS: KNOX COUNTY COMMISSIONER; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: COUNTY COMMISSIONER; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: KNOX COUNTY COMMISSIONER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SET POLICY AND BUDGETS TO MAKE COUNTY GOVERNMENT WORK EFFICIENTLY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronnie Wayne Rochelle'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

Start date: 1996

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3834 Sutherland Avenue, Knoxville, TN 37919

RIA

CRD#: 105644

KNOXVILLE, TN

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KNOXVILLE, TN

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 29, 2004 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

KNOXVILLE, TN

Past

January 3, 2003 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

KNOXVILLE, TN

Past

December 20, 1993 - January 2, 2003

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

February 8, 1993 - January 4, 1994

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

January 24, 1992 - January 27, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 5, 1991 - December 9, 1991

POWELL & SATTERFIELD, INC.

CRD#: 7030

LITTLE ROCK, AR

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

Indiana
(9/3/2013)

Nebraska
(4/21/2025)

North Carolina
(4/6/2022)

Pennsylvania
(1/2/2020)

Tennessee
(9/3/2013)

IAR

Tennessee
(6/29/2023)

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

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1991

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: 11/4/1991

General Securities 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.

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Firm Stability Insights

Ronnie W. Rochelle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronnie Wayne Rochelle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

FIRST HORIZON ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

POWELL & SATTERFIELD, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 11/11/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/4/1991

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

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