Robert B. Broseker

CETERA INVESTMENT ADVISERS LLC | Financial Advisor

ANNAPOLIS, MD 21401

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CRD#: 3068328

Professional summary

Robert Brian Broseker, CFP®, CIMA®, CPWA®, who also goes by Robert B Broseker, Rob Broseker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Trust & estate planning

Institutional consulting

Philanthropic services

Financial planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Robert B Broseker | Rob Broseker

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: Premier Planning Group Investment related: Yes Address: Same as registered location Nature of business: Financial Services Start Date: 04/2025 Apx number of hours per week:40 Apx number of hours during trading hours:40 Position/title/relationship: Financial Professional Brief description of duties: Providing Financial Services; 2. Name of other business: Fixed insurance Investment related: Yes Address: Same as registered location Nature of business: Fixed Insurance Start Date: 11/1998 Apx number of hours per week: 10 Apx number of hours during trading hours: 2 Position/title/relationship: Insurance Agent Brief description of duties: Insurance Sales and Service;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brian Broseker'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: 2008

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2019-11-11

Expire date: 2024-02-29

Experience

Current

April 21, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401

RIA

CRD#: 105644

ANNAPOLIS, MD

Current

April 21, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401

CRD#: 13572

ANNAPOLIS, MD

Past

June 1, 2009 - January 31, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Lutherville, MD

Past

June 1, 2009 - January 31, 2025

MORGAN STANLEY

CRD#: 149777

Lutherville, MD

Past

November 5, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PIKESVILLE, MD

Past

August 30, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PIKESVILLE, MD

Past

February 12, 1999 - September 3, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 8, 1998 - December 23, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 8, 1998 - December 23, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, 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".

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

Florida
(4/21/2025)

Georgia
(6/16/2025)

Maryland
(4/21/2025)

IAR

Maryland
(4/21/2025)

South Carolina
(4/21/2025)

Texas
(4/21/2025)

IAR

Texas
(4/21/2025)

Virginia
(6/9/2025)

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: 11/4/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/24/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1998

Investment Company Products/Variable Contracts 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Robert B. Broseker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brian Broseker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2002

Series 63

Date: 6/29/1998

SIE

Date: 10/1/2018

Series 31

Date: 3/24/1999

Series 7

Date: 2/18/1999

Series 6

Date: 6/6/1998

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

Contact information

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