Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Roessner is a financial advisor affiliated with Cetera Investment Advisers LLC, located in Oak Ridge, Tennessee. David has been in the financial industry for over 12 years and holds the Series 6, 7, 31, 63 and 65 licenses as well as the SIE exam. David is a registered Investment Advisor in Tennessee and Texas and a registered Broker Dealer in 20 states including Alabama, California, Florida, Georgia, Illinois, Indiana, Kentucky, Michigan, Missouri, Nebraska, Nevada, North Carolina, Ohio, South Carolina, Tennessee, Texas, and Utah. David specializes in portfolio management for individuals and businesses as well as financial planning and educational seminars. Prior to joining Cetera, David was a registered representative with Fifth Third Securities, Inc. and Morgan Stanley Smith Barney.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TN
01/24/2023 - Present
Cetera Investment Advisers LLC (OAK RIDGE TN)
TN
05/02/2013 - 07/01/2016
FIFTH THIRD SECURITIES, INC. (KNOXVILLE TN)
TN
05/03/2011 - 12/22/2011
MORGAN STANLEY SMITH BARNEY (KNOXVILLE TN)
TN
08/03/2009 - 03/11/2011
SUNTRUST INVESTMENT SERVICES, INC. (KNOXVILLE TN)
IA
Issued 6/3/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/14/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 5/2/2011
Series 7 - General Securities Representative Examination
BC
Issued 7/31/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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