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Paul D. Roach

ROACH INVESTMENT SERVICES
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 2934937
PR

Professional summary

Paul Douglas Roach, CFP®, who also goes by Paul Roach, is a registered financial advisor currently at ROACH INVESTMENT SERVICES located in San Mateo, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Paul has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Paul Roach

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.
Personal investment in residential real estate as rental property. No business name or address. I'm the property owner/landlord and spent about 4 hours per month on weekends/holidays, during non-market hours, handling any property or tenant issues. Started in 2011 with residential real estate investment.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Douglas Roach's 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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Current

February 1, 2018 - Present

ROACH INVESTMENT SERVICES

Office #1: 177 Bovet Road, Suite 600, San Mateo, CA 94402
RIA
CRD#: 134128
SAN MATEO, CA
Past

February 6, 2017 - December 31, 2017

ROACH INVESTMENT SERVICES

RIA
CRD#: 134128
SAN MATEO, CA
Past

February 11, 2016 - December 31, 2016

ROACH INVESTMENT SERVICES

RIA
CRD#: 134128
SAN MATEO, CA
Past

September 11, 2002 - March 2, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SAN MATEO, CA
Past

September 10, 2002 - March 2, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 15, 1999 - September 5, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 8, 1997 - September 5, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN MATEO, CA

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
California
(2/1/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/2/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/1997
General Securities Representative Examination

Current Firm

RI
ROACH INVESTMENT SERVICES
ROACH FINANCIAL PLANNING | ROACH, PAUL, DOUGLAS | ROACH INVESTMENT SERVICES | ROACH FINANCIAL SERVICES

CRD#: 134128 / SEC#:

California
Registered Investment Advisory firm - (2/1/2018 Approved)
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Contact information

Main Address
177 Bovet Road, Suite 600, San Mateo, CA 94402
Mailing Address
Phone number
(650) 638-2339
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts155
AUM (Assets Under Management)$ 49,582,251

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.

Company Information

ROACH INVESTMENT SERVICES

CRD#: 134128San Mateo, CA 94402

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