KR
Kevin E. Roche
LIFEMARK SECURITIES
Hibbing, MN 55746
Some features on this profile are disabled
CRD#: 3271142
KR
Professional summary
Kevin Edmond Roche Jr, who also goes by Kevin Edmond Roche Jr, Kevin Edmond Roche, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Hibbing, Minnesota.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Edmond Roche Jr | Kevin Edmond Roche
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.
1) Roche Financial Education & Strategies, Inc., dba, investment related, 2022 1st ave, Hibbing, MN 55746, sales & service of life, health, disability, LTC and fixed annuities, began 03/2011 / 2)BRIDGE FINANCIAL SERVICES GROUP, dba, INVST RELATED; 2022 1ST AVE., HIBBING, MN 55746; SALES & SERVICE OF FIXED LIFE, HEALTH, DISABILITY, LTC, FIXED ANNUITY INS, 40 HRS; STARTED 03/2011 / 3) SLUMBERLAND FURNITURE; 1305 INDUSTRIAL PARK, EVELETH MN 55734; NOT INVEST-RELATED; STARTED 6/2009; PARTTIME/WEEKEND SALES OF FURNITURE PRODUCTS; 20 HOURS PER WEEK /
4)OWNER OF RENTAL PROPERTY (garage apt); NON-INVST RELATED 903 1/2 SOUTH 5th AVE, VIRGINIA, MN; RENTS OUT SPACE; STARTED 03/2010, COLLECT RENT & MAINTAIN PROPERTY; 1 HOUR PER WEEK
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Edmond Roche Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Edmond Roche Jr'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®
NoneExperience
Current
July 8, 2019 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2022 1st Avenue, Hibbing, MN 55746Office #2: 2022 1st Avenue, Hibbing, MN 55746RIA
BD
CRD#: 16204
Hibbing, MN
Current
October 18, 2018 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2022 1st Avenue, Hibbing, MN 55746RIA
BD
CRD#: 16204
Hibbing, MN
Past
January 23, 2013 - October 18, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
July 28, 2011 - December 31, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
HIBBING, MN
Past
April 29, 2011 - December 31, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
HIBBING, MN
Past
February 24, 2000 - October 21, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
August 31, 1999 - March 1, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(10/19/2018)
IAR
Minnesota(7/8/2019)
RR
Wisconsin(9/18/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
