Christopher G. 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.
Christopher Guy Roche was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2023 - August 21, 2024
SMBC NIKKO SECURITIES AMERICA, INC.
May 2, 2018 - June 17, 2022
SCOTIA CAPITAL (USA) INC.
June 29, 2015 - April 27, 2018
DEUTSCHE BANK SECURITIES INC.
February 12, 2015 - June 17, 2015
UBS FINANCIAL SERVICES INC.
November 7, 2012 - June 17, 2015
UBS SECURITIES LLC
January 3, 2012 - November 15, 2012
DEUTSCHE BANK SECURITIES INC.
April 15, 2008 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
March 16, 2005 - January 29, 2008
HSBC SECURITIES (USA) INC.
August 11, 2004 - March 16, 2005
BARCLAYS CAPITAL INC.
March 18, 2003 - August 25, 2004
UBS SECURITIES LLC
May 14, 1998 - March 25, 2003
CITIGROUP GLOBAL MARKETS INC.
March 7, 1997 - March 16, 1998
MORGAN STANLEY DW INC.
February 12, 1997 - March 6, 1997
LEGG MASON WOOD WALKER, INCORPORATED
August 12, 1996 - February 10, 1997
AMERIPRISE ADVISOR SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SMBC NIKKO SECURITIES AMERICA, INC.
CRD#: 28602 / SEC#: , 8-43852
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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