Cullen O. Roche

ORCAM FINANCIAL GROUP

Encinitas, CA

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CRD#: 4725152

Professional summary

Cullen O'brien Roche, who also goes by Cullen O Roche, is a registered financial advisor currently at ORCAM FINANCIAL GROUP, LLC located in Encinitas, California.

Cullen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Cullen has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cullen O Roche

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cullen O'brien Roche's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 11, 2012 - Present

ORCAM FINANCIAL GROUP, LLC

RIA

CRD#: 164874

Encinitas, CA

Past

June 8, 2012 - June 15, 2012

ALETHEA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 156500

SAN DIEGO, CA

Past

April 1, 2008 - August 22, 2011

ORSUS INVESTMENTS, LLC

RIA

CRD#: 137754

SAN DIEGO, CA

Past

May 6, 2004 - September 14, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ALEXANDRIA, VA

Past

May 6, 2004 - September 14, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 3, 2004 - May 4, 2004

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

VIENNA, VA

Past

December 4, 2003 - May 4, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ORCAM FINANCIAL GROUP, LLC

DISCIPLINE FUNDS | ORCAM FINANCIAL GROUP, LLC

CRD#: 164874 / SEC#: 801-121561

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

California

Registered Investment Advisory firm - (7/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(9/11/2012)

IAR

Texas
(6/21/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/12/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ORCAM FINANCIAL GROUP, LLC

DISCIPLINE FUNDS | ORCAM FINANCIAL GROUP, LLC

CRD#: 164874 / SEC#: 801-121561

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

California

Registered Investment Advisory firm - (7/22/2021 Terminated)

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Contact information

Main Address

Encinitas, CA

Mailing Address

Phone number

+1 (858) 220-5383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	226
AUM (Assets Under Management)	$ 168,330,000

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.

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Firm Stability Insights

Cullen O. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cullen O'brien Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALETHEA CAPITAL MANAGEMENT, LLC

ORSUS INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ORCAM FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2012

Series 63

Date: 12/9/2003

Series 7

Date: 3/12/2004

Series 6

Date: 12/3/2003

Current Firm

ORCAM FINANCIAL GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ORCAM FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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