Dominic A. Roti
STRATEGIC ADVISERS LLC | Financial Consultant
ADDISON, IL
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CRD#: 5438910
Professional summary
Dominic Anthony Roti, who also goes by Dominic A Roti, Dominic Anthony Roti, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Addison, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Chicago, Illinois.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dominic has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Helping clients get a better understanding of their financial position and provide guidance on improving their overall financial picture. By diving deep into clients personal goals, I utilize my 12 years of planning experience and Fidelitys resources to develop a sound financial plan with my clients.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dominic A Roti | Dominic Anthony Roti
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.
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Anthony Roti'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®
NoneEducation
Eastern Illinois University
Bachelor of Business Studies (BBS) - Business and Communication
2005
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 401 N. Michigan Ave Ste 100, Chicago, IL 60611-2200RIA
CRD#: 104555
ADDISON, IL
Current
November 3, 2016 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 401 N. Michigan Avenue Ste 100, Chicago, IL 60611BD
CRD#: 7784
CHICAGO, IL
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CHICAGO, IL
Past
November 8, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CHICAGO, IL
Past
May 28, 2014 - September 21, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
BOLINGBROOK, IL
Past
May 28, 2014 - September 21, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BOLINGBROOK, IL
Past
October 1, 2012 - June 3, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
GLENDALE HEIGHTS, IL
Past
October 1, 2012 - June 3, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
GLENDALE HEIGHTS, IL
Past
August 26, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LOMBARD, IL
Past
November 12, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOMBARD, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
RR
Arizona(1/6/2017)
RR
California(8/10/2017)
RR
Colorado(8/10/2017)
RR
District of Columbia(1/4/2019)
RR
Florida(1/6/2017)
RR
Georgia(3/4/2022)
RR
Illinois(11/3/2016)
IAR
Illinois(3/31/2025)
RR
Indiana(1/6/2017)
RR
Iowa(5/3/2022)
RR
Kansas(5/6/2022)
RR
Kentucky(8/4/2025)
RR
Louisiana(8/4/2020)
RR
Maryland(11/17/2020)
RR
Massachusetts(8/10/2017)
RR
Michigan(8/10/2017)
RR
Minnesota(8/10/2017)
RR
Missouri(8/10/2017)
RR
Nevada(6/4/2021)
RR
New Hampshire(4/23/2020)
RR
New Jersey(10/2/2019)
RR
New York(8/10/2017)
RR
North Carolina(8/10/2017)
RR
Ohio(8/11/2017)
RR
Oregon(2/16/2021)
RR
Pennsylvania(1/4/2019)
RR
South Carolina(10/9/2020)
RR
South Dakota(7/21/2023)
RR
Tennessee(8/10/2017)
RR
Texas(10/2/2019)
IAR
Texas(3/31/2025)
RR
Utah(2/12/2021)
RR
Virginia(8/4/2025)
RR
Washington(8/10/2017)
RR
Wisconsin(1/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Addison, ILTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
