Robert G. 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.
Robert Garfield Roach JR, who also goes by Robert Garfield Roach Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 82TO, Series 79TO, SIE, Series 87, Series 7, Series 14, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2023 - February 1, 2024
STRIVE ASSET MANAGEMENT
October 12, 2022 - December 5, 2022
APEX FINTECH BROKERAGE SERVICES
February 16, 2022 - August 11, 2023
AMERICAFIRST WEALTH MANAGEMENT, INC.
April 15, 2021 - December 31, 2021
AMERICAFIRST CAPITAL MANAGEMENT, LLC
March 22, 2021 - June 10, 2021
KIPLING JONES & CO., LTD.
January 29, 2021 - January 8, 2024
ANDES CAPITAL GROUP, LLC
August 9, 2019 - June 16, 2023
ARQUE CAPITAL, LTD.
April 14, 2018 - June 1, 2020
OCP CAPITAL, LLC
April 7, 2018 - March 9, 2021
COMMONGOOD SECURITIES LLC
October 16, 2012 - December 31, 2013
AMERICAFIRST CAPITAL MANAGEMENT, LLC
January 3, 2012 - July 11, 2016
AMERICAFIRST SECURITIES, INC.
October 28, 2004 - March 16, 2009
MCC SECURITIES, INC.
November 26, 2003 - October 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2003 - October 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2003 - March 7, 2011
NILE CAPITAL, LLC
November 7, 1996 - September 12, 2002
MCC SECURITIES, INC.
Primary Firm SEC Registration
STRIVE ASSET MANAGEMENT
CRD#: 322039 / SEC#: 801-125907
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 2/24/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
STRIVE ASSET MANAGEMENT
CRD#: 322039 / SEC#: 801-125907
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 2,352,768,115 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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