Kelli D. Rojas

401K GENERATION

Altamonte Springs,, FL 32714

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CRD#: 4746719

Professional summary

Kelli Diane Rojas, who also goes by Kelli Diane Zuber, is a registered financial advisor currently at 401K GENERATION located in Altamonte Springs,, Florida.

Kelli is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kelli has worked at 4 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelli Diane Zuber

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) - RIA

Click below to view Kelli Diane Rojas'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

November 12, 2010 - Present

401K GENERATION

Office #1: 237 S Westmonte Drive Suite 300, Altamonte Springs,, FL 32714

RIA

CRD#: 154279

Altamonte Springs,, FL

Past

August 19, 2010 - December 6, 2012

RUGGIE WEALTH MANAGEMENT

RIA

CRD#: 145595

TAVARES, FL

Past

April 14, 2009 - October 7, 2009

LPL FINANCIAL LLC

CRD#: 6413

TAVARES, FL

Past

February 24, 2004 - March 9, 2005

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

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".

401K GENERATION

401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA

Registered Investment Advisory firm - (6/25/2010 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.

Highlighted states indicate IAR registrations

IAR

Florida
(11/12/2010)

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: 6/1/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 4/13/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

401K GENERATION

401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA

Registered Investment Advisory firm - (6/25/2010 Approved)

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Contact information

Main Address

237 S Westmonte Drive Suite 300, Altamonte Springs,, FL 32714

Mailing Address

Phone number

(407) 636-6689

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 172,885,459

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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Kelli D. Rojas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelli Diane Rojas's CRS (Customer Relationship Summary).

Certified licenses

Experience

401K GENERATION

RUGGIE WEALTH MANAGEMENT

LPL FINANCIAL LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

401K GENERATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2010

Series 6

Date: 4/13/2009

Current Firm

401K GENERATION

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

401K GENERATION

TRUST BUT VERIFY

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