Jessie L. 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.
Jessie Lawrence Roche, who also goes by Jessie Lawrence Nice, Laurie Nice, was a registered financial professional .
Jessie is a previously registered financial professional and started their career in finance in 1993. Jessie had worked at 7 firms and has passed the SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2016 - February 20, 2019
NATIONAL FINANCIAL SERVICES LLC
January 20, 2015 - June 17, 2016
FIDELITY DISTRIBUTORS CORPORATION
May 8, 2014 - June 17, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
July 14, 2006 - June 8, 2012
NATIONAL FINANCIAL SERVICES LLC
June 24, 1999 - July 14, 2006
FIDELITY BROKERAGE SERVICES LLC
September 1, 1997 - October 9, 1998
DB ALEX. BROWN LLC
August 12, 1993 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
April 8, 1993 - July 30, 1993
H.C.WAINWRIGHT & CO., LLC
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
