Kathleen M. 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.
Kathleen Mary Roche, who also goes by Kathleen Roche, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1990. Kathleen had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
October 19, 2018 - August 3, 2023
ASCENSUS BROKER DEALER SERVICES, LLC
January 23, 2018 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
March 25, 2009 - February 22, 2017
COMMONWEALTH FINANCIAL NETWORK
May 1, 2001 - July 11, 2008
NATIONAL FINANCIAL SERVICES LLC
August 3, 1998 - July 8, 1999
CITISTREET EQUITIES LLC
March 10, 1997 - July 1, 1998
CITISTREET EQUITIES LLC
June 26, 1994 - March 19, 1997
MFS FUND DISTRIBUTORS, INC.
January 20, 1993 - July 6, 1994
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
November 1, 1990 - July 6, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 1, 1990 - July 6, 1994
SIGNATOR INVESTORS, 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
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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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