Kevin T. Roach
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.
Kevin Timothy Roach was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 7 firms and has passed the Series 63, SIE, Series 16 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
August 5, 2015 - August 18, 2017
SANTANDER INVESTMENT SECURITIES INC.
December 4, 2013 - May 22, 2015
CIBC WORLD MARKETS CORP.
March 27, 2013 - April 26, 2013
CIBC WORLD MARKETS CORP.
October 4, 2010 - March 5, 2013
MUFG SECURITIES AMERICAS INC.
March 23, 2009 - September 2, 2010
BARCLAYS CAPITAL INC.
September 15, 2006 - July 23, 2007
BARCLAYS CAPITAL INC.
October 26, 2001 - March 19, 2003
BARCLAYS CAPITAL INC.
May 21, 2001 - August 8, 2001
DEUTSCHE BANK SECURITIES INC.
April 12, 1993 - March 14, 2001
MORGAN STANLEY & CO. LLC
June 23, 1987 - March 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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