Roger A. Roemmich

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CRD#: 1293322

Professional summary

Roger Allan Roemmich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Roger had worked at 13 firms, which includes ALEXANDER CAPITAL WEALTH MANAGEMENT LLC, ALEXANDER CAPITAL L.P., RETIREMENT CASH FLOW GROUP LLC, DEMPSEY LORD SMITH LLC, REALTA EQUITIES INC., ROKA WEALTH STRATEGISTS, TRIAD ADVISORS LLC, AMERIPRISE ADVISOR SERVICES INC., INVESTACORP INC., ASHFORD CAPITAL CORPORATION, JASON MACKENZIE SECURITIES INC., FSC SECURITIES CORPORATION, PHOENIX FINANCIAL CORPORATION.

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 6, 2020 - May 30, 2025

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 157714

Atlanta, GA

Past

October 2, 2020 - May 30, 2025

ALEXANDER CAPITAL, L.P.

CRD#: 40077

RED BANK, NJ

Past

April 2, 2019 - March 2, 2023

RETIREMENT CASH FLOW GROUP, LLC

RIA

CRD#: 285843

Alpharetta, GA

Past

September 18, 2017 - October 1, 2020

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

Alpharetta, GA

Past

November 29, 2016 - December 31, 2018

RETIREMENT CASH FLOW GROUP, LLC

RIA

CRD#: 285843

Alpharetta, GA

Past

October 13, 2016 - October 1, 2020

DEMPSEY LORD SMITH, LLC

CRD#: 141238

Alpharetta, GA

Past

July 2, 2014 - October 6, 2016

REALTA EQUITIES, INC.

CRD#: 23769

Roswell, GA

Past

June 14, 2007 - October 3, 2016

ROKA WEALTH STRATEGISTS

RIA

CRD#: 143560

BOGART, GA

Past

June 7, 2006 - July 11, 2007

TRIAD ADVISORS LLC

RIA

CRD#: 25803

ROSWELL, GA

Past

June 5, 2006 - July 24, 2014

TRIAD ADVISORS LLC

CRD#: 25803

ROSWELL, GA

Past

February 20, 2004 - May 2, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

DULUTH, GA

Past

December 16, 2003 - May 2, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DULUTH, GA

Past

May 5, 1988 - August 29, 1989

INVESTACORP, INC.

CRD#: 7684

Past

January 14, 1988 - February 5, 1988

ASHFORD CAPITAL CORPORATION

CRD#: 14715

Past

August 8, 1987 - February 20, 1988

JASON MACKENZIE SECURITIES, INC.

CRD#: 15287

Past

October 4, 1984 - August 21, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

August 21, 1984 - October 10, 1984

PHOENIX FINANCIAL CORPORATION

CRD#: 8340

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".

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/19/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/13/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/17/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/15/2003

General Securities Representative Examination

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701

Mailing Address

Phone number

(212) 687-5650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL WEALTH MANAGEMENT, LLC FIRM BROCHURE (3/11/2025)

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC APPENDIX 1 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	999
AUM (Assets Under Management)	$ 212,106,766

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.

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Roger A. Roemmich

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

RETIREMENT CASH FLOW GROUP, LLC

DEMPSEY LORD SMITH, LLC

RETIREMENT CASH FLOW GROUP, LLC

DEMPSEY LORD SMITH, LLC

REALTA EQUITIES, INC.

ROKA WEALTH STRATEGISTS

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

INVESTACORP, INC.

ASHFORD CAPITAL CORPORATION

JASON MACKENZIE SECURITIES, INC.

FSC SECURITIES CORPORATION

PHOENIX FINANCIAL CORPORATION

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2004

Series 65

Date: 2/13/1992

Series 63

Date: 8/30/1984

SIE

Date: 10/1/2018

Series 31

Date: 10/17/2005

Series 7

Date: 12/15/2003

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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