JR
Jonathan L. Roller
CETERA INVESTMENT ADVISERS LLC
BUFFALO, NY 14202
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CRD#: 6969485
JR
Professional summary
Jonathan Lee Roller is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Buffalo, New York and CETERA WEALTH SERVICES, LLC located in Buffalo, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Jonathan has worked at 5 firms and has passed the Series 66, 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) LUMSDEN MCCORMICK FINANCIAL SERVICES, LLC; INVESTMENT RELATED; 369 FRANKLIN STREET, BUFFALO, NY; WEALTH MANAGEMENT ENTITY; REGISTERED REPRESENTATIVE/INVESTMENT ADVISOR; 08/2018; 5 HOURS/ MONTH EVENTUALLY; HOWEVER, 0 HRS/MONTH UNTIL I AM REGISTERED AS AN ADVISOR. 2) LUMSDEN MCCORMICK FINANCIAL SERVICES; POSITION: Referring Financial Advisor NATURE: Engage in referring financial services business to the lead financial advisors at Lumsden McCormick Financial Services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/30/2019 ADDRESS: 369 Franklin Street, Buffalo NY 14202, United States DESCRIPTION: Working closely with Lumsden McCormick Financial Services's financial advisors. Speaking with clients, prospects, setting up meetings with the clients/prospects and Lumsden McCOrmick financial advisors. 3) RENTAL PROPERTY IN FORT MYERS BEACH, FL POSITION: Owner NATURE: It is a townhouse my wife and i own that we are renting out through the HOA. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/26/2021 ADDRESS: 800 Estero Boulevard, Fort Myers Beach FL 33931, DESCRIPTION: I have no responsibility other than being an owner and collecting the rental income. The HOA handles all the renting. 4) ROYAL BEACH CLUB BOARD MEMBER POSITION: Board member NATURE: I am board member for the HOA of my rental property in Florida. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2021 ADDRESS: 800 Estero Boulevard, Cyclorama Building, Fort Myers Beach FL 33931, DESCRIPTION: Unsure at this time as i just joined. But i imagine it would be similar to any other board. I would be advising the HOA on operations and help in making business decisions. 5) ROYAL BEACH CLUB BOARD MEMBER POSITION: Board member NATURE: I am board member for the HOA of my rental property in Florida. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2021 ADDRESS: 800 Estero Boulevard, Fort Myers Beach FL 33931, United States DESCRIPTION: I would be advising the HOA on operations and help in making business decisions. I willnot be providing any investment guidance.? 6) POWER OF ATTORNEY OVER WILLIAM ROLLER (FATHER) POSITION: Power of Attorney NATURE: I have power of attorney over my father. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 7 START DATE: 01/31/2024 ADDRESS: 6711 Macintosh Ln, North Tonawanda NY 14120, United States DESCRIPTION: My sister and I have full authority over my father and any required activities that are needed on his behalf. 7) POWER OF ATTORNEY OVER CAROLE KINN POSITION: Power of Attorney NATURE: Power of attorney for Carole Kinn. Carole is my Aunt, and she has no children. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/24/2025 ADDRESS: 6711 Macintosh Ln, North Tonawanda NY 14120, United States DESCRIPTION: Full authority over Carole's activities that are needed. She is 90 years old, but still alert, but deteriorating, so needed to get POA in place.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Lee Roller'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 369 Franklin Street Cyclorama Building, Buffalo, NY 14202RIA
CRD#: 105644
BUFFALO, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 369 Franklin Street Cyclorama Building, Buffalo, NY 14202BD
CRD#: 13572
Buffalo, NY
Past
August 27, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
NORTH TONAWANDA, NY
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Buffalo, NY
Past
August 30, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
BUFFALO, NY
Past
September 4, 2018 - January 2, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
BUFFALO, NY
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
New York(9/5/2025)
IAR
New York(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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Buffalo, NY 14202TRUST BUT VERIFY
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