RS
Roger M. Sloan
CETERA INVESTMENT ADVISERS LLC
DILLON, SC 29536
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CRD#: 3149746
RS
Professional summary
Roger Mclellan Sloan, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dillon, South Carolina and CETERA WEALTH SERVICES, LLC located in Dillon, South Carolina.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Roger has worked at 6 firms and has passed the 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) Sloan Wealth Management Services, P.C.~108 N. MacArthur Ave~Dillon~SC~29536~Accounting/Bookkeeping (No Tax Preparation)~Accountant/Bookkeeper~1/1/1995~200hrs~6hrs~President/Chief Tax Accountant and Financial Planner. 2) Ritter Insurance Marketing~2600 Commerce Drive~Harrisburg~PA~17110~Health Care~Insurance Sales Agent~10/26/2017~10hrs~10hrs~using this group to help with medicare supplements, medicare advantage plans and Part D drug plans. 3) The Brokerage Resource, Inc~1502 West NC Highway 54, Suite 401~Durham~NC~27707~Insurance Agent~Insurance Sales Agent~1/2/2017~2hrs~2hrs~Offering clients Medicare supplement products through Brokerage Resources ,Inc since HD vest does not offer this service. Also , may offer fixed life insurance products through Brokerage resources, Inc. 4) FIRST PRESBYTERIAN CHURCH DILLON SC POSITION: Elder - finance and Admin NATURE: The church will have an advisory brokerage account with Stifel Investments . The objective of the funds ( about $200k) will be growth and income. I will not be involved in investment decisions, but will be listed as a contact, since I'm the elder over admin and finance of the church, I will be listed as affiliated. The investment advisor at Stifel will make the investment advisory decisions within the investment policy statement guidelines. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/30/2020 ADDRESS: 200 East Harrison Street, Dillon SC 29536, DESCRIPTION: I report, to the other church officers, the finance matters of the church. this investment account would b a part of that report. i will have no investment authorization or decision making over the account.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Mclellan Sloan'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®
CFP®
Start date: 2004
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 108 N Macarthur Avenue, Dillon, SC 29536RIA
CRD#: 105644
DILLON, SC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 108 N Macarthur Ave, Dillon, SC 29536BD
CRD#: 13572
DILLON, SC
Past
July 27, 2004 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DILLON, SC
Past
August 24, 2000 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DILLON, SC
Past
April 1, 1999 - August 31, 2000
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
January 7, 1999 - April 9, 1999
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
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
Kentucky(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
South Carolina(9/5/2025)
IAR
South Carolina(9/5/2025)
RR
West Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck 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)
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 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dillon, SC 29536TRUST BUT VERIFY
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