James L. Roche
Professional summary
James Lawrence Roche is a registered financial professional currently at HAND SECURITIES, INC located in Houston, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Lawrence Roche's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2026 - Present
HAND SECURITIES, INC
Office #1: 820 Gessner Ste 1250, Houston, TX 77024June 8, 2012 - July 3, 2021
STANCORP EQUITIES, INC.
June 17, 2005 - September 17, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 29, 2003 - June 17, 2005
GUNNALLEN FINANCIAL, INC
June 24, 1997 - June 2, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 18, 1995 - February 12, 1997
J. B. HANAUER & CO.
April 13, 1995 - August 16, 1995
A.S. GOLDMEN & CO., 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
Series 7TO
Date: 12/5/2023
General Securities Representative ExaminationFINRA
Current Firm
HAND SECURITIES, INC
CRD#: 45198 / SEC#: , 8-51001
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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