Alberto R. Roque
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.
Alberto Raul Roque, who also goes by Alberto R Roque, Alberto Roque, was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 1995. Alberto had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 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
September 6, 2018 - March 3, 2020
J.P. MORGAN SECURITIES LLC
May 24, 2017 - May 4, 2018
OPPENHEIMER & CO. INC.
November 17, 2015 - April 26, 2017
JEFFERIES LLC
November 18, 2013 - November 24, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
September 24, 2013 - November 7, 2013
ACTIVA CAPITAL MARKETS, INC.
November 10, 2011 - October 1, 2013
HAPOALIM SECURITIES USA, INC.
April 28, 2010 - October 13, 2011
MF GLOBAL INC.
December 3, 2007 - May 14, 2010
CREDIT SUISSE SECURITIES (USA) LLC
November 9, 2007 - May 14, 2010
CREDIT SUISSE SECURITIES (USA) LLC
July 1, 2005 - October 8, 2007
RBC CAPITAL MARKETS CORPORATION
June 16, 2004 - October 8, 2007
RBC CAPITAL MARKETS, LLC
June 14, 2004 - October 8, 2007
RBC CAPITAL MARKETS, LLC
July 1, 2003 - June 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 5, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1999 - November 9, 1999
FTC SECURITIES, INC.
March 4, 1998 - January 5, 1999
GKN SECURITIES CORP.
February 8, 1995 - March 2, 1998
SOCIMER SECURITIES CORPORATION
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
