RQ
Roland O. Quast
THE STRATEGIC FINANCIAL ALLIANCE
Colorado Springs, CO 80903
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CRD#: 2419124
RQ
Professional summary
Roland Otto Quast, who also goes by Roland Otto Quast, is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Colorado Springs, Colorado.
Roland is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Roland has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roland Otto Quast
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.
ROQ Solutions, LLC; President; Capital markets consulting, approximately 10 hours a week during market hours; Started 8/1/2016.
CRS (Client Relationship Summary) - RIA
Click below to view Roland Otto Quast's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roland Otto Quast'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®
NoneExperience
Current
April 28, 2025 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 731 N. Tejon Street, Colorado Springs, CO 80903RIA
BD
CRD#: 126514
Colorado Springs, CO
Current
April 28, 2025 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 731 N. Tejon Street, Colorado Springs, CO 80903RIA
BD
CRD#: 126514
Colorado Springs, CO
Past
June 4, 2024 - December 2, 2024
AMERICAN ALTERNATIVE CAPITAL, LLC
BD
CRD#: 309956
ANN ARBOR, MI
Past
September 8, 2021 - July 15, 2022
AMERICAN ALTERNATIVE CAPITAL, LLC
BD
CRD#: 309956
ANN ARBOR, MI
Past
March 18, 2020 - July 6, 2020
VOLEO USA, INC
BD
CRD#: 273027
VANCOUVER, BRITISH COLUMBIA,
Past
June 20, 2017 - March 26, 2018
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Denver, CO
Past
August 3, 2015 - April 26, 2016
PREFERRED CAPITAL SECURITIES, LLC
BD
CRD#: 169719
ATLANTA, GA
Past
December 9, 2014 - August 3, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
May 19, 2014 - August 21, 2014
MVP AMERICAN SECURITIES
BD
CRD#: 118286
San Diego, CA
Past
April 11, 2012 - April 21, 2014
PROVASI CAPITAL PARTNERS LP
BD
CRD#: 119539
ADDISON, TX
Past
April 20, 2010 - January 11, 2011
NORTHSTAR SECURITIES, LLC
BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past
December 10, 2003 - August 12, 2009
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
BD
CRD#: 119546
DENVER, CO
Past
November 20, 2000 - July 10, 2003
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
Past
January 1, 1999 - June 15, 2000
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
March 17, 1994 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Arizona(6/11/2025)
RR
Arkansas(6/11/2025)
RR
California(6/11/2025)
RR
Colorado(4/28/2025)
IAR
Colorado(4/28/2025)
RR
Florida(6/11/2025)
RR
Georgia(6/11/2025)
RR
Kansas(6/11/2025)
RR
New Mexico(6/11/2025)
RR
Texas(6/11/2025)
IAR
Texas(6/11/2025)
RR
Virginia(6/11/2025)
RR
Wyoming(6/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
THE STRATEGIC FINANCIAL ALLIANCE, INC.
CRD#: 126514Colorado Springs, CO 80903TRUST BUT VERIFY
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