Zhaoji G. Yang

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CRD#: 5571294

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.

Zhaoji George Yang was a registered financial professional .

Zhaoji is a previously registered financial professional and started their career in finance in 2020. Zhaoji had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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)

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®

None

Experience

Past

September 3, 2020 - August 5, 2021

ROCHESTER WEALTH STRATEGIES, LLC

RIA

CRD#: 299150

ROCHESTER, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

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)

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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.

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Firm Stability Insights

Zhaoji G. Yang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROCHESTER WEALTH STRATEGIES, LLC

Primary Firm SEC Registration

ROCHESTER WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

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

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