John D. Roegner

WEALTHSPIRE RETIREMENT ADVISORY

Chicago, IL 60661

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CRD#: 4704719

Professional summary

John David Roegner, CFP®, who also goes by John Roegner, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. John has worked at 6 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Roegner

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 John David Roegner'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

Experience

Current

August 13, 2018 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 500 W. Madison Suite 450, Chicago, IL 60661

RIA

CRD#: 121254

Chicago, IL

Past

September 8, 2014 - August 7, 2017

SAVANT WEALTH MANAGEMENT

RIA

CRD#: 107271

NAPERVILLE, IL

Past

May 22, 2013 - April 2, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

ASHEVILLE, NC

Past

May 17, 2013 - April 2, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

RIA

CRD#: 43035

ASHEVILLE, NC

Past

April 15, 2009 - May 23, 2011

COLTON GROOME FINANCIAL ADVISORS, LLC

RIA

CRD#: 128365

ASHEVILLE, NC

Past

August 31, 2004 - June 2, 2011

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

ASHEVILLE, NC

Past

March 12, 2004 - June 2, 2011

VALMARK SECURITIES, INC.

CRD#: 31243

ASHEVILLE, NC

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/13/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/17/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/11/2004

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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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John D. Roegner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Roegner's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAVANT WEALTH MANAGEMENT

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS, N.C., INC.

COLTON GROOME FINANCIAL ADVISORS, LLC

VALMARK ADVISERS, INC.

VALMARK SECURITIES, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2014

Series 66

Date: 8/17/2004

Series 7

Date: 3/11/2004

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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