John H. Roach
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.
John Hendee Roach Jr, who also goes by Casey Roach, John Hendee Roach Jr, John Hendee Roach, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 66, Series 65, 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
May 18, 2021 - April 11, 2022
EAGLE STRATEGIES LLC
February 12, 2021 - April 11, 2022
NYLIFE SECURITIES LLC
February 4, 2015 - October 15, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2015 - October 15, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2012 - April 22, 2013
EQUITABLE ADVISORS, LLC
October 21, 2011 - April 22, 2013
EQUITABLE ADVISORS, LLC
December 7, 2000 - January 4, 2002
J.P. MORGAN SECURITIES INC.
February 1, 1994 - April 24, 1995
D.H. TROOB & COMPANY
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
