NR
Nicholas J. Roewert
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CRD#: 6365419
NR
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas James Roewert, who also goes by Nicholas Roewert, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Roewert
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.DBA: ILLUMINATE FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, INVESTMENT AND INSURANCE SERVICES, START AUGUST 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, ASSOCIATE. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2024; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3.NICHOLAS ROEWERT, SOLE PROPRIETOR, NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, FILM, TELEVISION AND ART, START 2006, 2-4 HOURS PER WEEK - NOT DURING TRADING HOURS, INDEPENDENT CONTRACTOR. 4. NAME OF OTHER BUSINESS: FORESTERS FINANCIAL; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICE AND SALES; START DATE: 12/2014; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: SERVICE AND SALES; 5. NAME OF OTHER BUSINESS: HALO GROUP OF NEBRASKA; INVESTMENT RELATED: NO; ADDRESS: 9290 W DODGE RD #200, OMAHA, NE 68114; NATURE OF BUSINESS: OUT OF POCKET TEACHER EXPENSES / CHARITABLE SERVICE; START DATE: 02/2019; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MANAGING RELATIONSHIP WITH DONORS, HOSTING, PLANNING EVENTS AND DISCOVERING COMMUNITY PARTNERS TO ASSIST; 6. NAME OF OTHER BUSINESS: NICHOLAS J. ROEWERT - SOLE PROPRIETOR ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BLOGGER/DIGITAL MARKETING/AUTHOR/GRAPHIC ARTIST FOR PRINT; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: OWNER/OPERATOR; APX NUMBER OF HOURS PER WEEK: 5-10; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10; BRIEF DESCRIPTION OF DUTIES: DELIVERING CONTENT TO READERS FOR HEALTH AND PERSONAL DEVELOPMENT. WRITING CHILDRENS BOOKS DESIGNING AND SELLING APPAREL;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 21, 2024 - April 17, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
OMAHA, NE
Past
November 12, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
OMAHA, NE
Past
September 3, 2014 - April 17, 2025
CETERA ADVISORS LLC
BD
CRD#: 10299
OMAHA, NE
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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.
