RO
Roger C. Ochs
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CRD#: 1333092
RO
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Carlton Ochs, CFP® was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1985. Roger had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) Door, Inc 1920 McKinney Ave Dallas TX 75201 Real Estate/Mortgage (I.E. Sales Agent/Broker, Mortgage Originator) Other 7/6/2017 8hrs~8hrs Chair Board meetings and meet regularly with the CEO 2) RCO Premier Consulting Group LLC 5144 Meaders Ln Dallas TX 75229 Other Owner 9/21/2018 5hrs~5hrs Consulting 3) DOOR, INC POSITION: Director/Officer and Temporary CEO NATURE: Real Estate/Mortgage (I.E. Sales Agent/Broker, Mortgage Originator) INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 07/06/2017 ADDRESS: 5690 Berkshire Ln, Dallas TX 75225, DESCRIPTION: Chair Board meetings and meet and temporary CEO activities 4) ESECLENDING POSITION: Director/Officer NATURE: Securities lending activities between institutional accounts. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/18/2017 ADDRESS: One Boston Place, 24th Floor, Boston MA 02110, United States DESCRIPTION: Board Member 5) CHOREO POSITION: Board Member NATURE: Provide advice to CEO and other board related activities INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/18/2022 ADDRESS: 5144 Meaders Lane, Dallas TX 75229, United States DESCRIPTION: see #4 6) FIDUCIOSO DBA INCOME DISCOVERY POSITION: Strategic Advisor NATURE: Strategic Guidance - provide general business advice and strategic direction, as requested by the Company, from time to time. The role is only advisory in nature and will have no voting, management or legal responsibilities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/04/2020 ADDRESS: 20 Church St, Liberty Corner NJ 07938, United States DESCRIPTION: see #4 7) CUSTODIA FINANCIAL POSITION: Advisor NATURE: Advisor to the CEO INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2019 ADDRESS: 17855 Dallas Parkway #110, Dallas TX 75287, United States DESCRIPTION: Advisor to the CEO
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®
Experience
Past
February 18, 2025 - October 6, 2025
CHOREO, LLC
RIA
CRD#: 111221
Dallas, TX
Past
July 16, 1996 - December 31, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Dallas, TX
Past
February 9, 1987 - December 31, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Dallas, TX
Past
May 23, 1985 - February 17, 1987
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
CHOREO, LLC
CHOREO, LLC | RSM US WEALTH MANAGEMENT LLC | RSM MCGLADREY, INC. | RSM MCGLADREY LLC | MCGLADREY WEALTH MANAGEMENT LLC
CRD#: 111221 / SEC#: 801-57236
RIA
Registered Investment Advisory firm - (11/16/2011 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CHOREO, LLC
CHOREO, LLC | RSM US WEALTH MANAGEMENT LLC | RSM MCGLADREY, INC. | RSM MCGLADREY LLC | MCGLADREY WEALTH MANAGEMENT LLC
CRD#: 111221 / SEC#: 801-57236
RIA
Registered Investment Advisory firm - (11/16/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6735 Vistagreen Way Suite 110, Rockford, IL 61107
Mailing Address
Phone number
(312) 702-1680
Established
Firm type
Fiscal year end
# of Employees
218
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,137 |
| AUM (Assets Under Management) | $ 18,232,358,701 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 11/12/2024 | ||
| 12/20/2023 | ||
| 11/30/2022 |
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.
