Gene L. 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.
Gene Lester Roach was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1963. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1990 - June 20, 1990
WILSHIRE CLEARING CORPORATION
February 17, 1988 - March 16, 1992
WILSHIRE DISCOUNT SECURITIES
May 16, 1986 - March 7, 1988
KENNEDY, CABOT & CO.
September 13, 1977 - April 29, 1986
A. G. EDWARDS & SONS, INC.
February 16, 1977 - October 1, 1977
EDWARD JONES
September 24, 1973 - August 31, 1976
THOMSON MCKINNON SECURITIES INC.
February 1, 1971 - November 2, 1973
KOHLMEYER & CO.
June 6, 1963 - April 26, 1971
GOODBODY & CO. INCORPORATED
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 15
Date: 10/25/1984
Foreign Currency Options ExaminationSeries 5
Date: 2/1/1982
Interest Rate Options ExaminationSeries 1
Date: 2/11/1959
Registered Representative ExaminationSeries 8
Date: 9/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 4/6/1973
General Securities Principal ExaminationCurrent Firm
WILSHIRE CLEARING CORPORATION
CRD#: 18724 / SEC#: , 8-37704
Contact information
Documents
Red Flags
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