Richard P. Roche

LITTLE HARBOR ADVISORS

Minneapolis, MN

Some features on this profile are disabled

CRD#: 1002171

Professional summary

Richard Paul Roche, who also goes by Rick Roche, is a registered financial advisor currently at LITTLE HARBOR ADVISORS, LLC located in Minneapolis, Minnesota and WEALTH EFFECTS located in Newbury, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Richard has worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Roche

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.

1-Little Harbor Advisors, investor relations professional, 40 hours per week. 2 - ROCHE SECURITIES SALES TRAINING INC; SWAMPSCOTT, MA; NON INVESTMENT RELATED; MANAGING DIRECTOR/TREASURER; 80-100 HOURS PER MONTH NONE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Roche'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 25, 2013 - Present

LITTLE HARBOR ADVISORS, LLC

RIA

CRD#: 168700

Minneapolis, MN

Current

July 24, 2024 - Present

WEALTH EFFECTS

RIA

CRD#: 315244

Newbury, MA

Past

October 7, 2020 - October 4, 2024

CRITO CAPITAL LLC

CRD#: 161724

WESTPORT, CT

Past

April 20, 2018 - December 31, 2018

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

December 17, 2014 - June 1, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

October 28, 2009 - December 16, 2011

AVATAR ASSOCIATES

RIA

CRD#: 127498

NEW YORK, NY

Past

December 5, 2007 - December 4, 2008

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

CRD#: 135131

NEW YORK, NY

Past

November 21, 2002 - December 31, 2005

IRON STREET SECURITIES INC.

CRD#: 46338

SALINA, KS

Past

September 24, 1999 - December 16, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 17, 1997 - October 27, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

May 10, 1993 - September 26, 1995

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

SMITHTOWN, NY

Past

January 14, 1991 - May 17, 1991

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

October 23, 1989 - December 31, 1990

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

October 11, 1988 - November 1, 1989

FREDERICK SECURITIES CORPORATION

CRD#: 8422

Past

December 28, 1984 - June 7, 1988

METRIC CAPITAL CORPORATION

CRD#: 6075

MORRISTOWN, NJ

Past

January 5, 1984 - March 9, 1984

ANGELES SECURITIES CORPORATION

CRD#: 8083

Past

July 28, 1982 - January 9, 1984

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

August 26, 1981 - July 28, 1982

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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".

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/25/2013)

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

Series 63

Date: 1/30/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/27/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/30/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 1/3/1989

Direct Participation Programs Principal Examination

Current Firm

WEALTH EFFECTS

HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

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

265 Franklin Street Suite 1702, Boston, MA 02110

Mailing Address

Phone number

(617) 465-2560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH EFFECTS DISCLOSURE BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts	969
AUM (Assets Under Management)	$ 405,838,000

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard P. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH EFFECTS

CRITO CAPITAL LLC

QUASAR DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

AVATAR ASSOCIATES

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

IRON STREET SECURITIES INC.

NEW ENGLAND SECURITIES

WOODBURY FINANCIAL SERVICES, INC.

ADVANCED PLANNING SECURITIES, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

PLANNED INVESTMENTS INC.

FREDERICK SECURITIES CORPORATION

METRIC CAPITAL CORPORATION

ANGELES SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

WEALTH EFFECTS

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2015

Series 65

Date: 10/27/2009

SIE

Date: 10/1/2018

Series 3

Date: 8/30/2016

Series 7

Date: 12/17/2014

Series 39

Date: 1/3/1989

Current Firm

WEALTH EFFECTS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH EFFECTS

TRUST BUT VERIFY

Similar Advisors