John L. Roche

ROCHE ASSET MANAGEMENT

ALLENTOWN, PA 18103

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CRD#: 2289152

Professional summary

John Leroy Roche is a registered financial advisor currently at ROCHE ASSET MANAGEMENT, LLC located in Allentown, Pennsylvania and LPL FINANCIAL LLC located in Allentown, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 07/2025 - Roche Financial Associates, LLC - DBA for LPL Business (entity for LPL business) - Allentown, PA - INV REL - Start Date 04/21/2014 - 40hrs/mth | 2hrs during trading 2. 07/2025 - Roche Asset Management, LLC - Registered Investment Advisor DBA - Allentown, PA - INV REL - Start Date 04/21/2014 - 150hrs/mth | 140hrs during trading 3. 07/2025 - Roche Painting LLC - Outside/W-2 Employment - Allentown, PA - NOT INV REL - Start Date 06/01/2023 - 78hrs/mth | 0hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Leroy 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®

None

Experience

Current

May 20, 2014 - Present

ROCHE ASSET MANAGEMENT, LLC

Office #1: 2686 S. Pike Avenue Suite 200, Allentown, PA 18103

RIA

CRD#: 170528

ALLENTOWN, PA

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 2686 S Pike Ave, Suite 200, Allentown, PA 18103

RIA

CRD#: 6413

ALLENTOWN, PA

Past

April 21, 2014 - May 16, 2025

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

ALLENTOWN, PA

Past

April 21, 2014 - July 10, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

ALLENTOWN, PA

Past

November 29, 2006 - April 24, 2014

OSAIC WEALTH, INC.

CRD#: 23131

ALLENTOWN, PA

Past

August 12, 2004 - April 22, 2014

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 128716

ALLENTOWN, PA

Past

May 8, 1998 - December 4, 2006

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

ALLENTOWN, PA

Past

March 30, 1998 - April 21, 1998

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

Past

June 2, 1993 - April 6, 1998

AMERICAN FINANCIAL ASSOCIATES, INC.

CRD#: 29049

EASTON, PA

Past

December 17, 1992 - May 25, 1993

VALLEY NATIONAL INVESTMENTS, INC.

CRD#: 16715

BETHLEHEM, PA

Past

November 2, 1992 - December 2, 1992

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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.

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

California
(7/10/2025)

Florida
(7/10/2025)

IAR

Pennsylvania
(5/20/2014)

Pennsylvania
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/8/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/26/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROCHE ASSET MANAGEMENT, LLC

CRD#: 170528 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/20/2014 Approved)

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Contact information

Main Address

2686 S. Pike Avenue Suite 200, Allentown, PA 18103

Mailing Address

Phone number

(610) 530-8042

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 13,059,584

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John L. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Leroy Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

OSAIC WEALTH, INC.

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

INVESTMENT ADVISORS & CONSULTANTS, INC.

AMERICAN FINANCIAL ASSOCIATES, INC.

VALLEY NATIONAL INVESTMENTS, INC.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2004

Series 63

Date: 11/27/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/29/1992

Series 53

Date: 2/26/2015

Series 24

Date: 2/10/1994

FINRA

Current Firm

ROCHE ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCHE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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