Richard B. Roesch
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.
Richard Brian Roesch, CFA, who also goes by Moose Brian Roesch, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 6 firms and has passed the Series 63, SIE 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
July 15, 2022 - March 20, 2023
9258 WEALTH MANAGEMENT, LLC
July 13, 2012 - January 19, 2022
ROBERT W. BAIRD & CO. INCORPORATED
January 3, 2012 - January 19, 2022
ROBERT W. BAIRD & CO. INCORPORATED
December 9, 2010 - January 23, 2012
RIAZZI ASSET MANAGEMENT, LLC
October 12, 2004 - October 10, 2008
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
February 7, 2003 - October 13, 2004
MEAD ADAM & CO INC
July 14, 1994 - January 5, 1996
EDWARD JONES
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
9258 WEALTH MANAGEMENT, LLC
CRD#: 290693 / SEC#: 801-112161
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,274 |
| AUM (Assets Under Management) | $ 1,033,822,730 |
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.
