RR
Richard Rocke
STRATEGIC ADVISERS LLC
PIONEER, CA
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CRD#: 1404061
RR
Professional summary
Richard Rocke, CFA, CFP® is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Pioneer, California and FIDELITY BROKERAGE SERVICES LLC located in Chandler, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Rocke's CRS (Customer Relationship Summary).
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
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
PIONEER, CA
Current
November 5, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CHANDLER, AZ
Past
December 13, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
May 24, 2021 - October 26, 2021
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
SAN FRANCISCO, CA
Past
April 28, 2021 - October 26, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN FRANCISCO, CA
Past
March 25, 2017 - February 2, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WALNUT CREEK, CA
Past
March 25, 2017 - February 2, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALNUT CREEK, CA
Past
December 8, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WALNUT CREEK, CA
Past
December 8, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WALNUT CREEK, CA
Past
March 25, 2014 - May 1, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAFAYETTE, CA
Past
March 25, 2014 - May 1, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LAFAYETTE, CA
Past
August 29, 2013 - March 17, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
PALO ALTO, CA
Past
August 29, 2013 - March 17, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
PALO ALTO, CA
Past
November 15, 2010 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HALF MOON BAY, CA
Past
October 19, 2010 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HALF MOON BAY, CA
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/5/2021)
RR
Alaska(11/5/2021)
RR
Arizona(11/5/2021)
RR
Arkansas(11/5/2021)
RR
California(11/5/2021)
IAR
California(3/31/2025)
RR
Colorado(11/5/2021)
RR
Connecticut(11/5/2021)
RR
Delaware(11/5/2021)
RR
District of Columbia(11/5/2021)
RR
Florida(11/5/2021)
RR
Georgia(11/5/2021)
RR
Hawaii(11/5/2021)
RR
Idaho(11/5/2021)
RR
Illinois(11/5/2021)
RR
Indiana(11/5/2021)
RR
Iowa(11/5/2021)
RR
Kansas(11/5/2021)
RR
Kentucky(11/5/2021)
RR
Louisiana(11/5/2021)
RR
Maine(11/5/2021)
RR
Maryland(11/5/2021)
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Massachusetts(11/5/2021)
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Michigan(11/5/2021)
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Minnesota(11/5/2021)
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Mississippi(11/5/2021)
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Missouri(11/5/2021)
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Montana(11/5/2021)
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Nebraska(11/5/2021)
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Nevada(11/5/2021)
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New Hampshire(11/5/2021)
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New Jersey(11/5/2021)
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New Mexico(11/5/2021)
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New York(11/5/2021)
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North Carolina(11/5/2021)
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North Dakota(11/5/2021)
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Ohio(11/8/2021)
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Oklahoma(11/5/2021)
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Oregon(11/5/2021)
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Pennsylvania(11/5/2021)
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Puerto Rico(11/5/2021)
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Rhode Island(11/5/2021)
RR
South Carolina(11/5/2021)
RR
South Dakota(11/5/2021)
RR
Tennessee(11/5/2021)
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Texas(11/5/2021)
IAR
Texas(3/31/2025)
RR
Utah(11/5/2021)
RR
Vermont(11/5/2021)
RR
Virginia(11/5/2021)
RR
Washington(11/5/2021)
RR
West Virginia(11/5/2021)
RR
Wisconsin(11/5/2021)
RR
Wyoming(11/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
