Michael J. Rochman

WMK INVESTMENT PARTNERS

DENVER, CO

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CRD#: 5132264

Professional summary

Michael Jay Rochman is a registered financial advisor currently at WMK INVESTMENT PARTNERS located in Denver, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 2 firms and has passed the Series 65, Series 63 and Series 79 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Rochman'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 3, 2025 - Present

WMK INVESTMENT PARTNERS

RIA

CRD#: 309832

DENVER, CO

Past

September 5, 2011 - November 28, 2012

BMO CAPITAL MARKETS CORP.

CRD#: 16686

CHICAGO, IL

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".

WMK INVESTMENT PARTNERS

ROCKSHORE WEALTH PARTNERS | WMKI GROUP LLC | WMK INVESTMENT PARTNERS

CRD#: 309832 / SEC#: 801-134962

RIA

Registered Investment Advisory firm - (12/12/2025 Approved)

Colorado

Registered Investment Advisory firm - (12/22/2025 Terminated)

Florida

Registered Investment Advisory firm - (12/15/2025 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

Colorado
(11/3/2025)

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: 5/21/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79

Date: 9/3/2011

Investment Banking Registered Representative Examination

Current Firm

WMK INVESTMENT PARTNERS

ROCKSHORE WEALTH PARTNERS | WMKI GROUP LLC | WMK INVESTMENT PARTNERS

CRD#: 309832 / SEC#: 801-134962

RIA

Registered Investment Advisory firm - (12/12/2025 Approved)

Colorado

Registered Investment Advisory firm - (12/22/2025 Terminated)

Florida

Registered Investment Advisory firm - (12/15/2025 Terminated)

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(818) 804-1508

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/14/2025)

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 129,310,416

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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Michael J. Rochman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jay Rochman's CRS (Customer Relationship Summary).

Certified licenses

Experience

WMK INVESTMENT PARTNERS

BMO CAPITAL MARKETS CORP.

Primary Firm SEC Registration

WMK INVESTMENT PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2025

Series 63

Date: 8/13/2011

Series 79

Date: 9/3/2011

Current Firm

WMK INVESTMENT PARTNERS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WMK INVESTMENT PARTNERS

TRUST BUT VERIFY

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