Michael M. 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.
Michael Matthew Roach was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2015 - June 23, 2022
EAGLE STRATEGIES LLC
June 5, 2015 - June 23, 2022
NYLIFE SECURITIES LLC
July 2, 2013 - April 22, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 1, 2013 - April 22, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 20, 2012 - June 10, 2013
CHARLES SCHWAB & CO., INC.
December 20, 2012 - June 10, 2013
CHARLES SCHWAB & CO., INC.
March 17, 2008 - December 5, 2012
STRATEGIC ADVISERS LLC
January 15, 2008 - December 4, 2012
FIDELITY BROKERAGE SERVICES LLC
April 16, 2003 - December 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2003 - December 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2001 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
