Rochelle Grey

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CRD#: 2149711

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.

Rochelle Grey, CFP® was a registered financial professional .

Rochelle is a previously registered financial professional and started their career in finance in 1991. Rochelle had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Past

February 5, 2019 - March 30, 2020

RKL PRIVATE WEALTH

RIA

CRD#: 122693

WYOMMISING, PA

Past

June 2, 2010 - April 30, 2012

M&T SECURITIES, INC.

RIA

CRD#: 17358

WILLIAMSPORT, PA

Past

May 24, 2010 - April 30, 2012

M&T SECURITIES, INC.

CRD#: 17358

WILLIAMSPORT, PA

Past

August 23, 2001 - June 3, 2002

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 15, 1991 - August 27, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 15, 1991 - August 27, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

RKL PRIVATE WEALTH

KUNTZ LESHER CAPITAL LLC | RKL WEALTH MANAGEMENT LLC | RKL PRIVATE WEALTH

CRD#: 122693 / SEC#: 801-66968

RIA

Registered Investment Advisory firm - (6/30/2006 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/3/2006 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: 5/27/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/22/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/1996

General Securities Principal Examination

Current Firm

RKL PRIVATE WEALTH

KUNTZ LESHER CAPITAL LLC | RKL WEALTH MANAGEMENT LLC | RKL PRIVATE WEALTH

CRD#: 122693 / SEC#: 801-66968

RIA

Registered Investment Advisory firm - (6/30/2006 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/3/2006 Terminated)

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Contact information

Main Address

1800 Fruitville Pike, Lancaster, PA 17601

Mailing Address

P.o. Box 8408, Lancaster, PA 17604

Phone number

(717) 399-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RKL WEALTH MANAGEMENT LLC - FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,090
AUM (Assets Under Management)	$ 2,128,225,509

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2025	Cover Page	Report
11/22/2024	Cover Page	Report
01/02/2024	Cover Page	Report
12/28/2022	Cover Page	Report

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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Firm Stability Insights

Rochelle Grey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M&T SECURITIES, INC.

M&T SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

RKL PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2010

Series 63

Date: 7/26/1991

Series 7

Date: 5/22/2010

Series 24

Date: 11/5/1996

Current Firm

RKL PRIVATE WEALTH

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RKL PRIVATE WEALTH

TRUST BUT VERIFY

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