Melvin Rokeach

STRATEGIC WEALTH MANAGEMENT GROUP

New York, NY 10019

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CRD#: 4124577

Professional summary

Melvin Rokeach is a registered financial advisor currently at STRATEGIC WEALTH MANAGEMENT GROUP located in New York, New York.

Melvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Melvin has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

INSURANCE BROKER (LIFE AND HEALTH, POPERTY & CASUALTY) 10 HOURS PER WEEK. NY, NY. STRATEGIC ADVISORS LLC INDEPENDENT CONTRACTOR FOR REGISTERED INVESTMENT ADVISORY FIRM- ESTIMATED 10 HOURS PER WEEK NY NY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melvin Rokeach's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2021 - Present

STRATEGIC WEALTH MANAGEMENT GROUP

Office #1: 1776 Broadway Suite 1900, New York, NY 10019

RIA

CRD#: 125882

New York, NY

Past

March 14, 2008 - September 24, 2018

MAY CAPITAL GROUP, L.L.C.

CRD#: 37081

NEW YORK, NY

Past

January 27, 2003 - February 4, 2003

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

March 6, 2000 - February 4, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

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".

STRATEGIC WEALTH MANAGEMENT GROUP

STRATEGIC ADVISORS LLC | STRATEGIC WEALTH MANAGEMENT GROUP

CRD#: 125882 / SEC#: 801-64228

RIA

Registered Investment Advisory firm - (5/16/2005 Approved)

New York

Registered Investment Advisory firm - (5/19/2005 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(6/8/2021)

IAR

New York
(5/29/2021)

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 65

Date: 11/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STRATEGIC WEALTH MANAGEMENT GROUP

STRATEGIC ADVISORS LLC | STRATEGIC WEALTH MANAGEMENT GROUP

CRD#: 125882 / SEC#: 801-64228

RIA

Registered Investment Advisory firm - (5/16/2005 Approved)

New York

Registered Investment Advisory firm - (5/19/2005 Terminated)

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Contact information

Main Address

1776 Broadway Suite 1900, New York, NY 10019

Mailing Address

Phone number

(212) 489-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWMG ADV PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 758,261,588

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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Advisor Monitoring

Firm Stability Insights

Melvin Rokeach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melvin Rokeach's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAY CAPITAL GROUP, L.L.C.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

STRATEGIC WEALTH MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2001

Series 63

Date: 3/27/2000

SIE

Date: 9/24/2018

Series 7

Date: 9/24/2001

Series 6

Date: 3/3/2000

Current Firm

STRATEGIC WEALTH MANAGEMENT GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH MANAGEMENT GROUP

TRUST BUT VERIFY

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