Richard G. 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.
Richard Glenn Roche, who also goes by Richard Glenn Roche, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 12 firms and has passed the Series 63, Series 82TO, Series 52TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2024 - July 7, 2025
STONEX FINANCIAL INC.
April 27, 2023 - February 2, 2024
BLAYLOCK VAN, LLC
April 8, 2021 - May 5, 2023
BTIG, LLC
May 11, 2020 - April 21, 2021
R.W.PRESSPRICH & CO.
July 16, 2018 - January 27, 2020
SANTANDER INVESTMENT SECURITIES INC.
July 29, 2014 - July 16, 2018
MIZUHO SECURITIES USA LLC
June 1, 2011 - June 16, 2014
JEFFERIES LLC
October 28, 2002 - June 10, 2011
MORGAN STANLEY & CO. LLC
January 19, 2001 - October 28, 2002
BARCLAYS CAPITAL INC.
December 18, 2000 - January 24, 2001
BNP PARIBAS SECURITIES CORP.
February 1, 1999 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1996 - September 30, 1998
J.P. MORGAN SECURITIES LLC
April 23, 1986 - May 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
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 82TO
Date: 4/27/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/20/2008
Limited Representative-Equity Trader ExamCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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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