Thomas M. Roche

REYNDERS, MCVEIGH CAPITAL MANAGEMENT

BOSTON, MA 02109

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CRD#: 2708983

Professional summary

Thomas Michael Roche is a registered financial advisor currently at REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC located in Boston, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Thomas has worked at 2 firms and has passed the Series 63 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Roche's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 30, 2006 - Present

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

Office #1: 10 Post Office Square Suite N1010, Boston, MA 02109

RIA

CRD#: 137342

BOSTON, MA

Past

May 22, 1996 - September 19, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

FRESH POND CAPITAL | REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC | REYNDERS CAPITAL MANAGEMENT, LLC | FRESH POND CAPITAL, LLC (RELYING ADVISER)

CRD#: 137342 / SEC#: 801-64812

RIA

Registered Investment Advisory firm - (11/21/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/30/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/31/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52

Date: 5/21/1996

Municipal Securities Representative Examination

Current Firm

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

FRESH POND CAPITAL | REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC | REYNDERS CAPITAL MANAGEMENT, LLC | FRESH POND CAPITAL, LLC (RELYING ADVISER)

CRD#: 137342 / SEC#: 801-64812

RIA

Registered Investment Advisory firm - (11/21/2005 Approved)

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Contact information

Main Address

10 Post Office Square Suite N1010, Boston, MA 02109

Mailing Address

Phone number

(617) 226-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC ADV PART 2A BROCHURE (6/9/2025)

Regulatory assets under management

Total Number of Accounts	749
AUM (Assets Under Management)	$ 3,916,569,543

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/27/2024	Cover Page	Report
01/02/2024	Cover Page	Report
11/28/2022	Cover Page	Report

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.

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Thomas M. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/1996

Series 52

Date: 5/21/1996

Current Firm

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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