RM
Rohit Mehrotra
SVB WEALTH
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 5030342
RM
Professional summary
Rohit Mehrotra is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts and FIRST CITIZENS INVESTOR SERVICES, INC. located in New York, New York.
Rohit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Rohit has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 3, Series 24, Series 10 and Series 9 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.
Triloka Partners, LLC. Start Date * 1/1/2017 End Date 1/1/2028. Description/Additional Notes * A separate entity set up to hold investment property in the Metro NY region. Address of outside business or other organization. * 284 Dodds Lane, Princeton, NJ 08540 Nature of outside business: * Sole purpose is to hold real estate investment assets Web sites: none. Explain your proposed involvement: * Managing Member of the LLC. 2023 Approximate # of hours a month: 0-10. Approximate # of hours during securities trading hours: 0. Neither the business nor my role are investment related. Tuck School of Business MBA Council. Start Date * 6/1/2023 End Date 1/1/2026. Address of outside business or other organization. * 100 Tuck Hall, Hanover, NH 03755; https://www.tuck.dartmouth.edu/about/tuck-leadership/mba-council *Established in 2002, provides the Dean of the Tuck School, and those responsible for the MBA program, advice and perspective on issues related to the MBA curriculum, admissions, student life, career development, and alumni services. Nature of outside business or organization: Higher education. 2023 Approximate # of hours a month: 0-10. Approximate # of hours during securities trading hours: 0 * Position/Title/Relationship: * I am one of 50 or so MBA Advisory Council members responsible for providing direction to the leadership of the school on matters such as curriculum. Neither the business nor my role are investment related. McCarter Theatre Board of Trustees. Start Date * 1/1/2023 End Date 1/1/2026 Description/Additional Notes * McCarter is an independent non-profit performing arts center located on the Princeton University campus. McCarter and Princeton partner throughout the year on a range of collaborations (on stage & off) where students, scholars, artists - and audiences - intersect. Address: * 91 University Place, Princeton NJ 08540. * Web sites * www.mccarter.org * I am one of approximately 30 Board of Trustees responsible for the stewardship of the McCarter mission. My role and the duties of the business are not investment related. 2023 Approximate # of hours a month: 0-10. Approximate # of hours during securities trading hours: 0. Rutgers Health Leadership Council Advisory Board. * Start Date * 1/2/2023 End Date 1/2/2025 Description/Additional Notes * Mission of the Council is to advocate for advancements in healthcare through the 8 schools at Rutgers University. Address of outside business or other organization. * Rutgers Biomedical & Health Sciences, Office of the Chancellor, 65 Bergen Street, Newark, NJ 07107 Nature of outside business or organization (type of business or activities engaged in). * Advisory Board created to advance healthcare via the 8 programs at Rutgers University. Web sites. * www.rbhs.rutgers.edu * I am one of 24 members of a Leadership Advisory Board at a not for profit educational institution in my home state of New Jersey. 2023 Approximate # of hours a month: 0-10. Approximate # of hours during securities trading hours: 0. My role and the nature of this business are not investment related. Big Brothers, Big Sisters Independence Region. Start Date * 1/1/2018 End Date 12/31/2024 Description/Additional Notes * Big Brothers Big Sisters Independence is a donor-supported organization that enriches, encourages and empowers children to reach their highest potential through safe, one-to-one mentoring relationships. Address: * 100 North 20th Street, 5th Floor . Philadelphia, PA 19103 * Web site. * https://www.independencebigs.org/about/ Involvement and responsibilities, including any title you will hold. * I am one of 30 Governing Board Members responsible to shepherd this organization's mission. Approximate/hours a month: 0-10. Approximate # of hours during securities trading hours: 0. My role and the nature of this organization are not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Rohit Mehrotra'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
December 2, 2021 - Present
SVB WEALTH
Office #1: 53 State Street 28th Floor, Boston, MA 02109RIA
CRD#: 172832
BOSTON, MA
Current
December 7, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 11 West 42nd Street, New York, NY 10036RIA
BD
CRD#: 44430
New York, NY
Past
December 2, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
RIA
CRD#: 168116
San Francisco, CA
Past
December 2, 2021 - December 31, 2023
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
San Francisco, CA
Past
January 5, 2011 - November 19, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PRINCETON, NJ
Past
October 31, 2005 - November 11, 2010
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 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.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
IAR
Colorado(9/27/2022)
IAR
Connecticut(9/27/2022)
IAR
New Jersey(12/6/2021)
RR
New Jersey(12/7/2023)
IAR
New York(12/2/2021)
IAR
North Carolina(9/27/2022)
IAR
Pennsylvania(12/2/2021)
RR
Pennsylvania(1/1/2024)
IAR
Utah(9/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SVB WEALTH
CRD#: 172832Boston, MA 02109TRUST BUT VERIFY
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