Kelli Diane Rojas
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kelli Diane Zuber
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES
Contact Information
Main Address
237 S Westmonte Drive Suite 300, Altamonte Springs,, FL 32714Phone Number
(866) 998-5879# of Employees
35SEC notice filing (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
161AUM (Assets Under Management)
$156,446,290Similar Advisors
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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.
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Primary Firm SEC Registration
401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2009About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Kelli Diane Rojas's CRS (Customer Relationship Summary).
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