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John David Roegner

NFP Retirement Inc.

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About John David Roegner

John David Roegner is a financial advisor who has been in the financial services industry for over 15 years. He is currently registered with NFP Retirement Inc. and has previously worked with Southeast Investments, N.C., Inc. and Valmark Securities, Inc. John David is a Certified Financial Planner and holds the Series 7, 65 and 66 licenses. He specializes in providing financial planning and investment management services to individuals, families, and retirement plans. He is committed to helping clients reach their financial goals.

Firm Information

John Roegner is currently registered with NFP Retirement Inc.. NFP Retirement Inc. is an investment advisor headquartered in Aliso Viejo, CA. With over 130 investment advisor representatives, NFP Retirement Inc. provides investment advisory services to a variety of clients, including individuals, businesses, and pension and profit-sharing plans. The firm has over $96 billion in regulatory assets under management. NFP Retirement Inc. offers financial planning, pension consulting, and portfolio management services. They also provide research reports on 401(k) plans and diligence on investment lineups.
NFP Retirement Inc.

120 VANTIS

ALISO VIEJO, CA 92656

$96.45B

Assets Under Management

30

Total Clients

126

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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research reports on 401(k) plans / diligence on investment lineups

Research reports on 401(k) plans / diligence on investment lineups

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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John Roegner’s Registration & Firm History

IL

08/13/2018 - Present

NFP Retirement Inc. (Chicago IL)

NC

05/22/2013 - 04/02/2014

SOUTHEAST INVESTMENTS, N.C., INC. (ASHEVILLE NC)

NC

03/12/2004 - 06/02/2011

VALMARK SECURITIES, INC. (ASHEVILLE NC)

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Licenses & Designations

IA

Issued 10/02/2014

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 08/17/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/11/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for John David Roegner.
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