Unclaimed Profile

Jon Howard Rothenberg

CETERA INVESTMENT ADVISERS LLC·SCHAUMBURG, Illinois

SIE, Series 7, Series 24, Series 63, Series 65, Series 99TOClean record22 years registeredCETERA INVESTMENT ADVISERS LLC

200 NORTH MARTINGALE ROAD, SCHAUMBURG, IL 60173-2096CRD# 2737327Firm CRD# 105644

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Jon Howard Rothenberg · SCHAUMBURG, IL

Registration

CRD #2737327 · CETERA INVESTMENT ADVISERS LLC · 22 years registered

Brand Profile

Not yet started

Career History

CETERA ADVISORS LLC

Feb 2022 – present

CETERA INVESTMENT SERVICES LLC

Feb 2022 – present

CETERA WEALTH SERVICES, LLC

Feb 2022 – present

CETERA INVESTMENT ADVISERS LLC

Jan 2008 – present

CETERA FINANCIAL SPECIALISTS LLC

Jan 2004 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · January 1, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA INVESTMENT ADVISERS LLC

CRD 105644 · SEC 801-20406

AUM

$104.5B

Regulatory assets under management

Employees

6,648

423,554 client accounts

Services offered by CETERA INVESTMENT ADVISERS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CETERA INVESTMENT ADVISERS LLC →

Introduction

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Frequently Asked Questions

What services does Jon Howard Rothenberg offer?

Jon Howard Rothenberg specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SCHAUMBURG, Illinois for a consultation.

What are Jon Howard Rothenberg's credentials?

Jon Howard Rothenberg is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Jon Howard Rothenberg located?

Jon Howard Rothenberg is based in SCHAUMBURG, Illinois, working with CETERA INVESTMENT ADVISERS LLC. Their office serves clients in the SCHAUMBURG metropolitan area and surrounding communities.

How does Jon Howard Rothenberg charge for services?

Jon Howard Rothenberg's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA INVESTMENT ADVISERS LLC?

CETERA INVESTMENT ADVISERS LLC has approximately 6648 employees and manages $104.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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