Dominic Garcia has been Sole Member of Rochester Wealth Strategies since September 2018, is a control person of the firm and directly owns 75% or more of it. Dominic Garcia holds a Master's Degree in Finance from Oakland University. Dominic Garcia studied at Walsh College.
Rochester Wealth Strategies, LLC is a Rochester, MI firm with $204M under management, 141 clients and 4 advisers in one office, as of its August 2026 filing.
Dominic Garcia is President and Wealth Manager of Rochester Wealth Strategies, based in Rochester, MI. He began his career with a concentration on comprehensive wealth management and spent 11 years as a Vice President and Senior Portfolio Manager at a previous firm. He works with clients to create roadmaps for retirement, in addition to providing income and legacy planning.
Dominic Garcia’s longest registration was 8 years at Morgan Stanley (2010–2018). Before joining Rochester Wealth Strategies in 2018, Dominic Garcia was registered through Private Advisor Group, LLC and Morgan Stanley.
- – present · 7 yearsRochester, MI · Adviser representative · Firm CRD 299150
- Private Advisor Group, LLC– · under a yearRochester, MI · Adviser representative · Firm CRD 155216
- Morgan Stanley– · 8 yearsRochester, MI · Adviser representative · Firm CRD 149777
Professional designations
Listed by Rochester Wealth Strategies
- Financial Planning Specialist
- Chartered Retirement Planning Counselor™
Investment adviser representative registrations
Dominic Garcia is registered as an investment adviser representative in Michigan, since December 2018.
- MichiganSince 12 December 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 12 July 2009 |
| Series 66 | Uniform Combined State Law Examination | 20 April 2009 |
| Series 7 | General Securities Representative Examination | 31 March 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5358850
- Firm
- Rochester Wealth Strategies · CRD 299150
- Role
- Sole Member
- Office
- 439 SOUTH MAIN STREET, SUITE 250, Rochester, MI 48307
- Registration
- Investment adviser registration
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- rochesterwealth.com
Where does Dominic Garcia work?
Dominic Garcia has been Sole Member of Rochester Wealth Strategies, LLC since September 2018, and is a control person of the firm.
Is Dominic Garcia a financial advisor?
Yes. Dominic Garcia has a current investment-adviser registration in Michigan, through Rochester Wealth Strategies since December 2018.
How many years of experience does Dominic Garcia have?
Dominic Garcia has 17 years in the financial industry, since March 2009, across 3 adviser firms.
What exams has Dominic Garcia passed?
Dominic Garcia has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in March 2009. FINRA credited Dominic Garcia with the SIE, which began in October 2018.
Where did Dominic Garcia work before Rochester Wealth Strategies?
Before Rochester Wealth Strategies, Dominic Garcia was registered through Morgan Stanley, February 2010 to September 2018.
Where is Dominic Garcia based?
Dominic Garcia’s registered office is in Rochester, MI.
Is Dominic Garcia registered with FINRA?
No. Dominic Garcia has no current broker registration.
How can I verify Dominic Garcia’s record?
Search CRD 5358850 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dominic Garcia’s full registration record.
