Todd C. Roesch

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CRD#: 4973896

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.

Todd Christopher Roesch, who also goes by Todd C Roesch, Todd Roesch, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2006. Todd had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Todd C Roesch | Todd Roesch

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) TCRWSJ2 LLC; Investment Related; 435 Ogden Lane, New Braunfels, TX 78130; Residential Rentals; Partner; Started 10/2017; Approx. 1hr/mo; Not during securities trading hrs; Investment in real estate to generate rental income. I am a capital contributor only. Properties are managed by a separate property management company. (2) TCRWSJ Lakeview LLC; Investment Related; 435 Ogden Lane, New Braunfels, TX 78130; Residential Rentals; Partner; Started 1/2021; Approx. 1hr/mo; Not during securities trading hrs; Investment in real estate to generate rental income. I am a capital contributor only. Properties are managed by a separate property management company.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2022 - December 19, 2024

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

Dallas, TX

Past

May 4, 2018 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

DALLAS, TX

Past

May 4, 2018 - December 19, 2024

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

DALLAS, TX

Past

June 7, 2016 - April 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DALLAS, TX

Past

June 7, 2016 - April 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DALLAS, TX

Past

March 16, 2009 - December 28, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

DALLAS, TX

Past

September 22, 2008 - March 24, 2016

BARCLAYS CAPITAL INC.

CRD#: 19714

DALLAS, TX

Past

August 31, 2006 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

DALLAS, TX

Past

August 25, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

DALLAS, TX

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/30/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/2013

General Securities Principal Examination

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Todd C. Roesch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FROST INVESTMENT SERVICES

FROST BROKERAGE SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2006

Series 24

Date: 8/10/2013

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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