Gene Lester Roach
Professional Summary
Gene Lester Roach was a registered financial advisor. Gene was a previously registered financial professional and started their career in finance 1963 - 1990. Gene had worked at 8 firms and has passed the Series 63, Series 3, Series 15, Series 5, Series 1, Series 27, Series 8, Series 4 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
67 years in the financial services industry
Current & Past Employments
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Current Firm
LACHMAN FUTURES AND SECURITIES INC. | WILSHIRE CLEARING CORPORATION | RONCO SECURITIES INC. | LACHMAN, SPEYER & SMITH SECURITIES INC. | LACHMAN SECURITIES INC.
Contact Information
Established
California since 04/25/1986Firm Type
CorporationFiscal Year End
DecemberDocuments
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Oct 1984Series 5 — Interest Rate Options Examination
Passed Feb 1982Series 1 — Registered Representative Examination
Passed Feb 1959Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1985Series 00 — General Securities Principal Examination
Passed Apr 1973Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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