RS
Roger A. Seng
CETERA INVESTMENT ADVISERS LLC
JASPER, IN 47546
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CRD#: 7441321
RS
Professional summary
Roger Allen Seng, who also goes by Roger A Seng, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jasper, Indiana and CETERA WEALTH SERVICES, LLC located in Jasper, Indiana.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Roger has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger A Seng
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)SENG & SENG CPA'S P.C. POSITION: Secretary NATURE: Certified Public Accounting Firm - payroll preparation, payroll tax and sales tax preparation, business and tax planning advice, individual and business tax return preparation services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 130 START DATE: 08/20/2007; ADDRESS: 902 Main St, PO Box 744, Jasper IN 47547, United States; DESCRIPTION: Managing shareholder of the firm Bookkeeping and financial decisions Accounts payable and receivable ank deposits and check writing Payroll preparation and submission of tax payments Once licensed, providing investment advice 2)S & S Rentals; Partner; Rental of commercial real estate building, including self-rental from related CPA firm, Seng & Seng CPA's PC.; NIR; 1; 08/24/2015; 902 Main St Jasper IN 47547; Assist with oversight of maintenance/condition of the property.Assist with making financial decisions with other partner.Assist partner in verifying timely collection of rent income. 3)City of Jasper; Utility Service Board Chairman; Mayoral appointed paid Utility Service Board position with the City of Jasper, Indiana. The board consists of seven members appointed by the Mayor and the Common Council.; IR; 2; 01/01/2015; 610 Main Street Jasper IN 47547-0029; The responsibility of the board is to set policy pertaining to the operation of each city owned utility, authorize capital expenditures, and approve payments to vendors for materials and supplies.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Allen Seng'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: 902 Main Street Po Box 744, Jasper, IN 47546RIA
CRD#: 105644
JASPER, IN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 902 Main St, Jasper, IN 47547BD
CRD#: 13572
JASPER, IN
Past
August 1, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Jasper, IN
Past
December 7, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
JASPER, IN
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
Indiana(9/5/2025)
IAR
Indiana(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/6/2021
General Securities Representative ExaminationGeneral 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.
