LR
Lee B. Roggenburg
CETERA INVESTMENT ADVISERS LLC
Pompano Beach, FL 33062
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CRD#: 4541403
LR
Professional summary
Lee Blake Roggenburg, who also goes by Lee B Roggenburg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pompano Beach, Florida and CETERA WEALTH SERVICES, LLC located in Pompano Beach, Florida.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Lee has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee B Roggenburg
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) RETIREMENT PLANNING SERVICES OF BOCA RATON; SINCE 01/01/2010; ADDRESS SAME AS BRANCH; FINANCIAL ADVISOR; PLANNING, INVESTING; 20 HOURS SPENT ON ACTIVITY PER MONTH, 1 DURING TRADING HOURS (2) LEE ROGGENBURG; SINCE 02/02/2015; SAME ADDRESS AS BRANCH; N/A;I AM GOING TO BE THE COLOR COMMENTATOR (NON-COMPENSATED) FOR A LIVE STREAMED GAME OR PODCAST REGARDING LACROSSE ONLY; 6 HRS. ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (3) FLORIDA LACROSSE NEWS; SINCE 02/01/2013; ADDRESS SAME AS BRANCH; WRITER; I WRITE ARTICLES FOR THE WEBSITE FLORIDALACROSSENEWS.COM, COVERING MOSTLY HIGH SCHOOL GAMES AND PLAYER INFORMATION, ALTHOUGH WITH LOCAL COLLEGES STARTING UP AND THE MLL MAYBE EXPANDING HERE I COULD BE COVERING COLLEGE AND PROFESSIONAL TOO; 25 HOURS SPENT ON ACTIVITY PER MONTH; 0 HOURS SPENT DURING TRADING (4) FLN; SINCE 11/09/2015; ADDRESS SAME AS BRANCH; INVESTOR; THE EVENT WILL FEATURE TWO HIGH SCHOOL GAMES AND A COLLEGE GAME FEATURING CORNELL AND HOBART. BASICALLY I WILL BE ONE OF THE GUARANTORS OF THE EVENT; 20 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (5) STRATFORD FINANCIAL ADVISORS, LLC; SINCE 11/17/2000; SAME AS BRANCH; PRESIDENT; FINANCIAL ADVISOR; THIS DBA IS THE NAME; 160 HRS. SPENT ON ACTIVITY PER MONTH; ALL DURING TRADING HOURS. (6) NAME OF OTHER BUSINESS: LEE ROGGENBURG; INVESTMENT RELATED: NO; ADDRESS: 4120 N CLINTON STREET FT WAYNE IN 46805; NATURE OF BUSINESS: REAL ESTATE; START DATE: 2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PASSIVE INVESTOR, INHERITED REAL ESTATE; (7) NAME OF OTHER BUSINESS: LEE ROGGENBURG; INVESTMENT RELATED: NO; ADDRESS: 1100 RAYMOND DRIVE NEWARK NJ 07102; NATURE OF BUSINESS: REAL ESTATE; START DATE: 2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PASSIVE INVESTOR, INHERITED REAL ESTATE; (8) NAME OF OTHER BUSINESS: LACROSSE MEDIA PROPERTIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ONLINE LACROSSE CHANNEL; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: PART OWNER/SENIOR WRITER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: WRITING, EXTEND LACROSSE CONTENT COVERAGE;
CRS (Client Relationship Summary) - RIA
Click below to view Lee Blake Roggenburg'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 18, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 777 South Federal Highway B210, Pompano Beach, FL 33062RIA
CRD#: 105644
Pompano Beach, FL
Current
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Pompano Beach, FL
Past
March 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOCA RATON, FL
Past
March 30, 2011 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
BOCA RATON, FL
Past
June 22, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
March 15, 2007 - September 27, 2007
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
July 16, 2002 - January 9, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOCA RATON, FL
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
Florida(8/23/2019)
IAR
Florida(5/18/2023)
RR
Massachusetts(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
South Carolina(1/2/2025)
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
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#: 105644Pompano Beach, FL 33062TRUST BUT VERIFY
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