John I. 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.
John Isaac Roach, who also goes by Isaac Roach, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 6 firms and has passed the Series 65, 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
April 19, 2022 - December 31, 2024
RFP INVESTMENT CONSULTANTS
January 13, 2015 - December 31, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
December 22, 2014 - December 31, 2017
INTERNATIONAL ASSETS ADVISORY, LLC
December 19, 2014 - July 12, 2018
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
March 20, 2007 - October 21, 2014
CITIZENS SECURITIES, INC.
March 16, 2007 - October 21, 2014
CITIZENS SECURITIES, INC.
February 14, 2005 - March 28, 2007
FIFTH THIRD SECURITIES, INC.
April 26, 2004 - November 29, 2004
CHARLES SCHWAB & CO., INC.
December 1, 2000 - November 29, 2004
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
RFP INVESTMENT CONSULTANTS
CRD#: 318233 / SEC#:
Contact information
Red Flags
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