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Joshua David Rochon

Joshua D. Rochon

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CRD#: 5033527
Joshua David Rochon

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joshua David Rochon, CFP®, who also goes by Joshua D Rochon, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2005. Joshua had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua D Rochon

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Past

September 24, 2025 - January 21, 2026

ADVISORY ALPHA, LLC

RIA
CRD#: 158282
Perrysburg, OH
Past

December 9, 2021 - June 28, 2025

TFO WEALTH PARTNERS

RIA
CRD#: 124407
MAUMEE, OH
Past

July 1, 2020 - December 2, 2021

JDR FINANCIAL, LLC

RIA
CRD#: 309303
Perrysburg, OH
Past

April 24, 2018 - July 28, 2020

FOURTH DIMENSION FINANCIAL GROUP

RIA
CRD#: 156733
PERRYSBURG, OH
Past

October 9, 2012 - April 27, 2018

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
TOLEDO, OH
Past

October 5, 2012 - April 27, 2018

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
TOLEDO, OH
Past

February 16, 2010 - July 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DEARBORN, MI
Past

February 11, 2010 - July 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DEARBORN, MI
Past

November 16, 2009 - January 7, 2010

EDWARD JONES

RIA
CRD#: 250
COCONUT CREEK, FL
Past

October 27, 2009 - January 7, 2010

EDWARD JONES

BD
CRD#: 250
COCONUT CREEK, FL
Past

June 9, 2006 - November 12, 2007

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
TOLEDO, OH
Past

June 8, 2006 - November 12, 2007

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
TOLEDO, OH
Past

January 9, 2006 - May 2, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
TOLEDO, OH
Past

December 9, 2005 - May 2, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
TOLEDO, 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".
AA
ADVISORY ALPHA, LLC
ADVISORY ALPHA | SUDDENLY SINGLE WEALTH MANAGEMENT | SCHIPPER & OSTERINK | MONEY TALES FINANCIAL | FINANCIAL TRANSITIONS LTD. | FINANCIAL DECISIONS | ESTATE DOCTOR | CONGER WEALTH MANAGEMENT | CASE WEALTH MANAGEMENT | ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA
Registered Investment Advisory firm - (6/14/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2009
General Securities Representative Examination

Current Firm

AA
ADVISORY ALPHA, LLC
ADVISORY ALPHA | SUDDENLY SINGLE WEALTH MANAGEMENT | SCHIPPER & OSTERINK | MONEY TALES FINANCIAL | FINANCIAL TRANSITIONS LTD. | FINANCIAL DECISIONS | ESTATE DOCTOR | CONGER WEALTH MANAGEMENT | CASE WEALTH MANAGEMENT | ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA
Registered Investment Advisory firm - (6/14/2011 Approved)
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Contact information

Main Address
348 S Waverly Rd Suite 100, Holland, MI 49423
Mailing Address
Phone number
(866) 530-1400
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADVISORY ALPHA, LLC ADV PART 2A (4/24/2025)

Regulatory assets under management

Total Number of Accounts22,480
AUM (Assets Under Management)$ 3,468,083,482

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

ADVISORY ALPHA, LLC

CRD#: 158282

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