Michael J. 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.
Michael Joseph Roche was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2022 - January 24, 2025
BTIG, LLC
November 24, 2011 - April 30, 2021
SEAPORT GLOBAL SECURITIES LLC
October 14, 2009 - December 1, 2011
MF GLOBAL INC.
October 10, 2007 - October 20, 2008
NATIONAL BANK OF CANADA FINANCIAL INC.
October 22, 1985 - August 20, 1986
ORION ROYAL 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
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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