Unclaimed Profile

Roger Allan Roemmich

ROKA WEALTH STRATEGISTS, LLC·ROSWELL, Georgia

SIE, Series 7, Series 31, Series 63, Series 65, Series 6622 years registeredROKA WEALTH STRATEGISTS, LLC

1901 MACY DRIVE, ROSWELL, GA 30076CRD# 1293322Firm CRD# 143560

Profile Verification

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

Identity

Roger Allan Roemmich · ROSWELL, GA

Registration

CRD #1293322 · ROKA WEALTH STRATEGISTS, LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ROKA WEALTH STRATEGISTS, LLC

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Nov 2020 – May 2025

Atlanta, GA

RETIREMENT CASH FLOW GROUP, LLC

Apr 2019 – Mar 2023

Alpharetta, GA

DEMPSEY LORD SMITH, LLC

Sep 2017 – Oct 2020

Alpharetta, GA

ROGER'S RETIREMENT READINESS ALLIANCE LLC

Nov 2016 – Dec 2018

Alpharetta, GA

ROKA WEALTH STRATEGISTS

Jun 2007 – Oct 2016

BOGART, GA

TRIAD ADVISORS, INC.

Jun 2006 – Jul 2007

ROSWELL, GA

H&R BLOCK FINANCIAL ADVISORS, INC.

Feb 2004 – May 2006

DULUTH, GA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 31

Series 63

Series 65

Series 66

Registration record

First registered · February 20, 2004

Years registered · 22

Disclosure History

2026Customer Dispute·Pending

2026Regulatory·Final

2025Customer Dispute·Pending

2025Employment Separation After Allegations

2024Customer Dispute·Pending

2019Judgment / Lien

2013Customer Dispute·Settled

2006Employment Separation After Allegations

10 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ROKA WEALTH STRATEGISTS, LLC

CRD 143560 · SEC 801-67915

AUM

$48M

Regulatory assets under management

Employees

321 client accounts

Services offered by ROKA WEALTH STRATEGISTS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ROKA WEALTH STRATEGISTS, LLC →

Introduction

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Frequently Asked Questions

What services does Roger Allan Roemmich offer?

Roger Allan Roemmich specializes in Financial Planning, Investment Management, Wealth Management.

What are Roger Allan Roemmich's credentials?

Roger Allan Roemmich is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roger Allan Roemmich located?

Roger Allan Roemmich is based in ROSWELL, Georgia, last registered with ROKA WEALTH STRATEGISTS, LLC.

How does Roger Allan Roemmich charge for services?

Roger Allan Roemmich'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 ROKA WEALTH STRATEGISTS, LLC?

ROKA WEALTH STRATEGISTS, LLC has approximately 1 employees and manages $48M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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