SR
Stephen G. Roehrig
NOVEM GROUP
Rochester, NY 14625
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CRD#: 2826376
SR
Professional summary
Stephen Gerald Roehrig is a registered financial advisor currently at NOVEM GROUP located in Rochester, New York and OSAIC WEALTH, INC. located in Rochester, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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) NOVEM GROUP, INVESTMENT-RELATED, INVESTMENT ADVISER REPRESENTATIVE, START DATE 5/2013, 80 HOURS DEVOTED PER MONTH DURING MARKET HOURS 2) OSAIC WEALTH, INC., INVESTMENT-RELATED, REGISTERED REPRESENTATIVE, START DATE 10/2024, 80 HOURS DEVOTED PER MONTH DURING MARKET HOURS 3) INSURANCE AGENT, NOT INVESTMENT-RELATED, 10 HOURS DEVOTED PER MONTH DURING MARKET HOURS 4) GEM CREEK BREWERY, LLC., NOT INVESTMENT-RELATED, CANANDAIGUA, NY, LLC MEMBER, START DATE 06/17/2024, 0 HOURS DEVOTED DURING MARKET HOURS, PASSIVE INVESTOR 5) INSURANCE AGENT POSITION: agent NATURE: Life Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 350 Linden Oaks, Ste 140, Rochester NY 14625-2807, United States DESCRIPTION: Seek life insurance solutions for clients
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Gerald Roehrig'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
May 20, 2013 - Present
NOVEM GROUP
Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625RIA
CRD#: 158964
Rochester, NY
Current
October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625RIA
BD
CRD#: 23131
ROCHESTER, NY
Past
April 17, 2008 - September 25, 2013
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
April 15, 2008 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
ROCHESTER, NY
Past
November 24, 2006 - April 15, 2008
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
ROCHESTER, NY
Past
July 26, 2005 - November 29, 2006
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ROCHESTER, NY
Past
January 7, 2003 - June 17, 2005
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
BOCA RATON, FL
Past
June 2, 2000 - December 5, 2002
PITTSFORD CAPITAL MARKETS, INC
BD
CRD#: 36406
PITTSFORD, NY
Past
February 4, 2000 - May 18, 2000
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
FAIRPORT, NY
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".
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)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
IAR
Arizona(4/18/2023)
RR
Arizona(10/11/2024)
RR
Arkansas(10/11/2024)
IAR
California(5/18/2016)
RR
California(10/11/2024)
IAR
Colorado(6/3/2021)
RR
Colorado(10/11/2024)
IAR
Connecticut(3/31/2022)
RR
Connecticut(10/11/2024)
IAR
Florida(6/15/2016)
RR
Florida(10/11/2024)
IAR
Georgia(6/26/2020)
RR
Georgia(10/11/2024)
RR
Maryland(10/11/2024)
RR
Michigan(10/11/2024)
RR
Mississippi(10/11/2024)
IAR
New Hampshire(6/16/2021)
IAR
New Jersey(5/8/2019)
RR
New Jersey(10/11/2024)
IAR
New York(7/8/2022)
RR
New York(10/11/2024)
IAR
North Carolina(4/1/2022)
RR
North Carolina(10/11/2024)
IAR
Ohio(5/20/2013)
RR
Ohio(10/11/2024)
RR
Oklahoma(10/11/2024)
RR
Pennsylvania(10/11/2024)
RR
South Carolina(10/11/2024)
RR
Tennessee(10/11/2024)
RR
Texas(10/11/2024)
RR
Vermont(10/11/2024)
IAR
Virginia(3/17/2016)
RR
Virginia(10/11/2024)
IAR
Washington(7/13/2022)
RR
Washington(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
350 Linden Oaks Suite 140, Rochester, NY 14625
Mailing Address
Phone number
(585) 348-9525
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
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
NOVEM GROUP
CRD#: 158964Rochester, NY 14625TRUST BUT VERIFY
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