JL
Joseph Larocque
LAROCQUE FINANCIAL GROUP
Baltimore, MD
Some features on this profile are disabled
CRD#: 4363277
JL
Professional summary
Joseph Larocque, who also goes by Joseph P Larocque, Joseph Patrick Larocque, is a registered financial advisor currently at LAROCQUE FINANCIAL GROUP, LLC located in Baltimore, Maryland.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joseph has worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph P Larocque | Joseph Patrick Larocque
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.
1) Independent Non Executive Director Columbia Threadneedle Luxembourg Fund Ranges; Investment related: Yes; Location of the business: 44 Rue de la vall�e Luxembourg Luxembourg Dublin 4 2661 Luxembourg; Description of the business: 25 plus funds and circa $20B of AUM in funds that are distributed around the globe. These funds are non available for sale to US Investors.; Position Title: Independent Non Executive Director; Responsibilities Duties: Governance and oversight of the Luxembourg Fund Range.; Start date with business: 2021-04-28; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 14. 2) Independent Non Executive Director and Board Chair Franklin Templeton Irish Fund Ranges; Investment related: Yes; Location of the business: 126 Pembroke Road 3rd Floor Dublin Dublin Dublin 4 Ireland; Description of the business: For this Fund Range in Ireland, it is circa $30Billion and over 50 funds. The products are sold in a number of different jurisdictions around the world. US Investors are not allowed to buy the funds.; Position Title: Board Chair, Independent Non Executive DIrector; Responsibilities Duties: I serve as the sounding board for the Head of the Management Company of the Funds regarding emerging issues and act as the contact point for every board member. I work closely with the Head of the Management Company to create purposeful agendas and facilitate effective meetings. I am charged with oversight governance of the Fund Range.; Start date with business: 2019-07-01; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 25
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Larocque's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 17, 2022 - Present
LAROCQUE FINANCIAL GROUP, LLC
RIA
CRD#: 318882
Baltimore, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Maryland(2/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
LF
LAROCQUE FINANCIAL GROUP, LLC
LAROCQUE FINANCIAL GROUP, LLC
CRD#: 318882 / SEC#:
Maryland
Registered Investment Advisory firm - (2/17/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Baltimore, MD
Mailing Address
Phone number
(443) 742-5090
Established
Firm type
Fiscal year end
# of Employees
1
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.
