JR
John C. Roche
RUSSELL INVESTMENTS
Plantation, FL
Some features on this profile are disabled
CRD#: 2165659
JR
Professional summary
John Clancy Roche, CFP®, who also goes by Jack Roche, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Plantation, Florida and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jack Roche
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Clancy Roche's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
May 20, 2024 - Present
RUSSELL INVESTMENTS
RIA
CRD#: 105734
Plantation, FL
Current
June 24, 2024 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101BD
CRD#: 21771
SEATTLE, WA
Past
July 30, 2019 - December 8, 2020
ANCHOR CAPITAL ADVISORS LLC
RIA
CRD#: 105540
Boston, MA
Past
September 18, 2015 - October 1, 2018
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
December 5, 2013 - August 25, 2015
G.DISTRIBUTORS, LLC
BD
CRD#: 155071
RYE, NY
Past
November 22, 2013 - December 2, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
FT. MYERS, FL
Past
November 21, 2013 - December 2, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
FT. MYERS, FL
Past
November 7, 2012 - November 19, 2013
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
FORT LAUDERDALE, FL
Past
November 6, 2012 - November 19, 2013
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FORT LAUDERDALE, FL
Past
April 23, 2008 - October 10, 2012
THORNBURG INVESTMENT MANAGEMENT INC
RIA
CRD#: 106357
FORT MYERS BEACH, FL
Past
April 17, 2008 - October 10, 2012
THORNBURG SECURITIES LLC
BD
CRD#: 14857
SANTA FE, NM
Past
April 22, 1998 - March 13, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
Past
June 27, 1995 - April 15, 1998
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
February 24, 1995 - June 28, 1995
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
October 3, 1994 - April 28, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
September 8, 1994 - June 8, 1995
FIRST COLONIAL INVESTMENT SERVICES, INC.
BD
CRD#: 26969
ROSEMONT, IL
Past
October 15, 1992 - July 1, 1994
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
November 11, 1991 - October 13, 1992
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
Registered Investment Advisory firm - (5/21/1982 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(5/20/2024)
RR
Alabama(6/25/2024)
IAR
Alaska(5/20/2024)
RR
Alaska(6/25/2024)
RR
Arizona(7/3/2024)
IAR
Arkansas(5/20/2024)
RR
Arkansas(6/27/2024)
IAR
California(5/20/2024)
RR
California(6/25/2024)
IAR
Colorado(5/20/2024)
RR
Colorado(6/25/2024)
IAR
Connecticut(5/20/2024)
RR
Connecticut(6/25/2024)
IAR
Delaware(5/20/2024)
RR
Delaware(7/1/2024)
RR
District of Columbia(6/27/2024)
IAR
District of Columbia(9/17/2024)
RR
Florida(6/25/2024)
RR
Georgia(6/26/2024)
IAR
Georgia(6/26/2024)
IAR
Hawaii(5/20/2024)
RR
Hawaii(6/25/2024)
IAR
Idaho(5/20/2024)
RR
Idaho(6/24/2024)
IAR
Illinois(5/20/2024)
RR
Illinois(7/29/2024)
IAR
Indiana(5/20/2024)
RR
Indiana(6/26/2024)
IAR
Iowa(5/20/2024)
RR
Iowa(6/26/2024)
IAR
Kansas(5/20/2024)
RR
Kansas(6/25/2024)
IAR
Kentucky(5/20/2024)
RR
Kentucky(6/26/2024)
RR
Louisiana(7/1/2024)
IAR
Louisiana(11/19/2024)
IAR
Maine(5/20/2024)
RR
Maine(6/25/2024)
IAR
Maryland(5/20/2024)
RR
Maryland(6/27/2024)
RR
Massachusetts(6/24/2024)
IAR
Massachusetts(1/31/2025)
IAR
Michigan(5/20/2024)
RR
Michigan(6/26/2024)
IAR
Minnesota(5/20/2024)
RR
Minnesota(6/25/2024)
IAR
Mississippi(5/20/2024)
RR
Mississippi(6/26/2024)
IAR
Missouri(5/20/2024)
RR
Missouri(6/25/2024)
IAR
Montana(5/20/2024)
RR
Montana(6/25/2024)
IAR
Nebraska(5/21/2024)
RR
Nebraska(6/25/2024)
RR
Nevada(6/25/2024)
IAR
New Hampshire(5/20/2024)
RR
New Hampshire(6/25/2024)
IAR
New Jersey(5/21/2024)
RR
New Jersey(7/9/2024)
IAR
New Mexico(5/20/2024)
RR
New Mexico(6/26/2024)
IAR
New York(5/20/2024)
RR
New York(6/25/2024)
IAR
North Carolina(5/20/2024)
RR
North Carolina(6/25/2024)
RR
North Dakota(7/15/2024)
IAR
Ohio(5/28/2024)
RR
Ohio(6/25/2024)
RR
Oklahoma(6/26/2024)
IAR
Oregon(5/20/2024)
IAR
Pennsylvania(5/20/2024)
RR
Pennsylvania(6/25/2024)
RR
Puerto Rico(7/9/2024)
IAR
Rhode Island(5/20/2024)
RR
Rhode Island(6/26/2024)
IAR
South Carolina(5/20/2024)
RR
South Carolina(6/27/2024)
RR
South Dakota(6/25/2024)
RR
Tennessee(6/25/2024)
IAR
Texas(5/20/2024)
RR
Texas(6/25/2024)
IAR
Utah(5/21/2024)
RR
Utah(6/25/2024)
IAR
Vermont(5/21/2024)
RR
Vermont(6/25/2024)
RR
Virgin Islands(6/25/2024)
IAR
Virginia(5/20/2024)
RR
Virginia(6/26/2024)
IAR
Washington(5/20/2024)
RR
Washington(6/25/2024)
RR
West Virginia(7/15/2024)
IAR
Wisconsin(5/20/2024)
RR
Wisconsin(6/25/2024)
IAR
Wyoming(5/20/2024)
RR
Wyoming(6/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
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Contact information
Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
