Joseph F. Roche
Professional summary
Joseph Francis Roche, who also goes by (jr) Joseph Francis Roche, Jo Francis Roche, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Francis Roche's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2022 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103April 1, 2015 - January 3, 2022
OLIVETREE FINANCIAL, LLC
January 20, 2015 - February 17, 2015
CANTOR FITZGERALD & CO.
July 24, 2012 - January 20, 2015
BGC FINANCIAL, L.P.
November 19, 2001 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
March 13, 2001 - November 20, 2001
RBC CAPITAL MARKETS, LLC
August 3, 2000 - March 30, 2001
RBC CAPITAL MARKETS CORPORATION
September 5, 1996 - July 13, 2000
J.P. MORGAN SECURITIES LLC
February 23, 1984 - August 28, 1996
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/16/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/18/1999
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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