Stephen B. Roesner

CETERA INVESTMENT ADVISERS LLC

FAIRMONT, MN 56031

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CRD#: 3214381

Professional summary

Stephen Brent Roesner, who also goes by Steve Roesner, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fairmont, Minnesota and CETERA INVESTMENT SERVICES LLC located in Fairmont, Minnesota.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Roesner

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.)PROFINIUM FINANCIAL, REPRESENTING PROFINIUM AS TRUSTEE FOR TRUSTS ASSIGNED TO PROFINIUM, RESPONSIBLE FOR PAYING BILLS AND PROVIDING SERVICES TO TRUST CLIENTS. NO PLACING TRADES, INVESTMENT DECISIONS OR RECOMMENDATIONS. PAYMENT IS A SALARY. A CLIENT HAS A TRUST FOR A DECEASED HUSBAND, BUT PERSONAL HOLDINGS ARE WITH INVESTMENTS DEPT (PV)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Brent Roesner'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®

None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 105 Lake Avenue, Fairmont, MN 56031

RIA

CRD#: 105644

FAIRMONT, MN

Current

January 31, 2011 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 105 Lake Avenue, Fairmont, MN 56031Office #2: 100 Warren Street Suite 100, Mankato, MN 56001Office #3: 1080 W Frontage Road, Owatonna, MN 55060Office #4: 414 N 5th Avenue East, Truman, MN 56088

CRD#: 15340

Fairmont, MN

Past

January 9, 2014 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

OWATONNA, MN

Past

January 3, 2008 - February 1, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

FAIRMONT, MN

Past

July 17, 2006 - January 4, 2008

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

FAIRMONT, MN

Past

May 3, 1999 - July 12, 2006

PFS INVESTMENTS INC.

CRD#: 10111

URBANDALE, IA

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
(7/29/2025)

Iowa
(1/31/2011)

Minnesota
(1/31/2011)

IAR

Minnesota
(1/21/2014)

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

Series 63

Date: 5/8/1999

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: 8/4/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1999

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.

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Firm Stability Insights

Stephen B. Roesner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Brent Roesner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

FSC SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2006

Series 6

Date: 5/1/1999

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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