Dominic Garcia

ROCHESTER WEALTH STRATEGIES

ROCHESTER, MI 48307

Some features on this profile are disabled

CRD#: 5358850

Professional summary

Dominic Garcia, who also goes by Dominic D Garcia, Dominic D'angelo Garcia, is a registered financial advisor currently at ROCHESTER WEALTH STRATEGIES, LLC located in Rochester, Michigan.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Dominic has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominic D Garcia | Dominic D'angelo Garcia

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 Dominic Garcia'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

December 12, 2018 - Present

ROCHESTER WEALTH STRATEGIES, LLC

Office #1: 439 South Main Street Suite 250, Rochester, MI 48307

RIA

CRD#: 299150

ROCHESTER, MI

Past

August 31, 2018 - April 3, 2019

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Rochester, MI

Past

February 22, 2010 - September 4, 2018

MORGAN STANLEY

RIA

CRD#: 149777

ROCHESTER, MI

Past

June 1, 2009 - September 4, 2018

MORGAN STANLEY

CRD#: 149777

ROCHESTER, MI

Past

April 1, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SOUTHFIELD, MI

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".

ROCHESTER WEALTH STRATEGIES, LLC

CRD#: 299150 / SEC#: 801-131112

RIA

Registered Investment Advisory firm - (9/16/2024 Approved)

Michigan

Registered Investment Advisory firm - (11/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (1/30/2024 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

Michigan
(12/12/2018)

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 66

Date: 4/20/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/12/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/31/2009

General Securities Representative Examination

Current Firm

ROCHESTER WEALTH STRATEGIES, LLC

CRD#: 299150 / SEC#: 801-131112

RIA

Registered Investment Advisory firm - (9/16/2024 Approved)

Michigan

Registered Investment Advisory firm - (11/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (1/30/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

439 S. Main Street Suite 250, Rochester, MI 48307

Mailing Address

Phone number

(248) 434-6550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCHESTER WEALTH STRATEGIES DISCLOSURE BROCHURE (7/18/2025)

Regulatory assets under management

Total Number of Accounts	446
AUM (Assets Under Management)	$ 150,810,110

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.

Similar Advisors

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Lyndon Davis

LIGHTSQUARE WEALTH MANAGEMENT, LLC

IAR

Farmington Hills, MI

Avery Marsh

PFS INVESTMENTS INC.

Troy, MI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dominic Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE ADVISOR GROUP, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ROCHESTER WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2009

SIE

Date: 9/4/2018

Series 31

Date: 7/12/2009

Series 7

Date: 3/31/2009

Current Firm

ROCHESTER WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCHESTER WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Similar Advisors