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CR

Calvin Roseberry

CETERA INVESTMENT ADVISERS
DALLAS, TX 75019
Some features on this profile are disabled
CRD#: 2965512
CR

Professional summary

Calvin Roseberry, CIMA®, who also goes by Calvin Lewis Roseberry II, Calvin Lewis Roseberry, Calvin L Roseberry Ii, Calvin Lewis Roseberry Ii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Calvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Calvin has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Calvin Lewis Roseberry Ii | Calvin Lewis Roseberry | Calvin L Roseberry Ii | Calvin Lewis Roseberry Ii

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin Roseberry'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019
RIA
CRD#: 105644
DALLAS, TX
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019
BD
CRD#: 13572
DALLAS, TX
Past

January 28, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Dallas, TX
Past

January 28, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

September 30, 2020 - January 13, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHARLOTTE, NC
Past

September 8, 2020 - January 13, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

February 7, 2018 - February 21, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
ST. PETERSBURG, FL
Past

July 14, 2015 - February 21, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

March 24, 2014 - June 19, 2015

PALMETTO ADVISORY

RIA
CRD#: 152286
ST. PETERSBURG, FL
Past

March 18, 2014 - June 19, 2015

PALMETTO ADVISORY GROUP, LLC

BD
CRD#: 150270
CHARLESTON, SC
Past

February 28, 2013 - March 27, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

February 27, 2013 - March 27, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL
Past

April 13, 2011 - February 27, 2013

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

October 22, 2010 - March 16, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
OAKLAND PARK, FL
Past

October 21, 2010 - March 16, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
OAKLAND PARK, FL
Past

October 9, 2009 - March 4, 2010

FORTITUDE ADVISORY GROUP L.L.C.

RIA
CRD#: 116083
GIG HARBOR, WA
Past

June 18, 2009 - March 4, 2010

ARGENTUS SECURITIES, LLC

BD
CRD#: 45915
WEST PALM BEACH, FL
Past

December 19, 2007 - November 14, 2008

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
OXFORD, MS
Past

December 19, 2007 - November 14, 2008

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
OXFORD, MS
Past

June 25, 1998 - November 28, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BOCA RATON, FL
Past

June 22, 1998 - November 28, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
North Carolina
(9/5/2025)
IAR
North Carolina
(9/5/2025)
RR
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/18/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/4/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/20/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/1998
General Securities Representative Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dallas, TX 75019

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