Christopher M. 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 Michael Roche was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2021 - December 9, 2022
INSTITUTIONAL BOND NETWORK, LLC
April 6, 2011 - June 14, 2019
G.W. SHERWOLD ASSOCIATES, INC
December 3, 2008 - December 17, 2009
WALNUT STREET SECURITIES, INC.
May 14, 2001 - December 12, 2006
JOHN THOMAS FINANCIAL
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
Current Firm
INSTITUTIONAL BOND NETWORK, LLC
CRD#: 187515 / SEC#: , 8-69609
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAGGE, ERIK NICHOLAS | SENIOR PARTNER, MUNI PRINCIPAL | 3244703 |
| DICKINSON, MARTIN JOHN | OWNER | 1352810 |
| NATALE, CHRISTOPHER JOHN | MANAGING MEMBER & PROPRIETARY TRADER | 4870483 |
| SWEENEY, PATRICK WILLIAM | OWNER | 1350182 |
| ACTON STROIA FAMILY TRUST | TRUST | |
| ACTON, BRIAN LEONARD | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8167174 |
| CLARK, CATHERINE MARIAN | CHIEF COMPLIANCE OFFICER | 4384961 |
| GILMAN, ROBERT CRAIG | FINOP/CFO/PFO/POO | 1738412 |
| KNIPPA, GARY LOUIS | INVESTOR | 8167504 |
| MATHENY, GREGORY SCOTT | INVESTOR | 8167208 |
| NGUYEN, HOAN-VU TRAN | INVESTOR | 8163339 |
| O'MARA, CHRISTOPHER ROY | PROPRIETARY TRADER | 1657262 |
| RUFFIER, WILLIAM EUGENE | INVESTOR | 8167148 |
| STROIA, SHARON MARIE | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8168236 |
Red Flags
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