Bryan C. Roche
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.
Bryan Curtice Roche was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1984. Bryan had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 28, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1998 - March 19, 2013
FINANCIAL WEST GROUP
June 21, 1994 - September 17, 1996
PIPER SANDLER & CO.
April 27, 1992 - July 19, 1994
SUMMITVIEW CAPITAL, INC.
September 4, 1990 - January 21, 1992
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1986 - September 4, 1990
BOETTCHER & COMPANY, INC.
December 18, 1984 - July 7, 1986
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 3/12/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 9/12/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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