Ian M. 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.
Ian Michael Roche, CIMA®, who also goes by Ian M Roche, Ian Roche, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1994. Ian had worked at 11 firms and has passed the 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 25, 2019 - December 6, 2023
INVESCO DISTRIBUTORS, INC.
November 27, 2001 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 3, 2001 - September 14, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
November 9, 1998 - February 6, 2001
KEYBANC CAPITAL MARKETS INC.
February 3, 1998 - November 9, 1998
KEY CAPITAL MARKETS, INC.
December 3, 1996 - January 16, 1998
KEY INVESTMENTS INC.
August 19, 1996 - December 5, 1996
WELLS FARGO SECURITIES INC.
October 20, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 8, 1995 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
August 27, 1994 - July 8, 1995
WAMU INVESTMENTS, INC.
January 24, 1994 - August 12, 1994
A. G. EDWARDS & SONS, INC.
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
