Joshua J. Roche

ROCHE ASSET MANAGEMENT

ALLENTOWN, PA 18103

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CRD#: 5247991

Professional summary

Joshua John Roche is a registered financial advisor currently at ROCHE ASSET MANAGEMENT, LLC located in Allentown, Pennsylvania and LPL FINANCIAL LLC located in Allentown, Pennsylvania.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joshua has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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- 07/2025 - Number Crunch Tax Solutions LLC - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/2023 - 80 hours per month/ 20 hours during trading 2- 07/2025 - Roche Financial Associates, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/21/2014 - 80 hours per month/ during trading 3- 07/2025 - Roche Asset Management, LLC - Registered Investment Advisor Hybrid - Chief Executive Officer - Investment Related - At Reported Business Location(s) - Start Date 01/01/2014 - 80 hours per month/ during trading - I provide investment advisory services through Roche Asset Management, LLC, an independent investment advisor firm. I started this business activity in 7/2025. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Roche'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®

None

Experience

Current

May 20, 2014 - Present

ROCHE ASSET MANAGEMENT, LLC

Office #1: 2686 S. Pike Avenue Suite 200, Allentown, PA 18103

RIA

CRD#: 170528

ALLENTOWN, PA

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 2686 S Pike Ave, Suite 200, Allentown, PA 18103

RIA

CRD#: 6413

ALLENTOWN, PA

Past

April 21, 2014 - May 16, 2025

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

ALLENTOWN, PA

Past

April 21, 2014 - July 10, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

ALLENTOWN, PA

Past

February 11, 2009 - April 22, 2014

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 128716

EASTON, PA

Past

December 14, 2006 - April 24, 2014

OSAIC WEALTH, INC.

CRD#: 23131

ALLENTOWN, PA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/10/2025)

New Jersey
(7/10/2025)

North Carolina
(7/10/2025)

IAR

Pennsylvania
(5/20/2014)

Pennsylvania
(7/10/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ROCHE ASSET MANAGEMENT, LLC

CRD#: 170528 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/20/2014 Approved)

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Contact information

Main Address

2686 S. Pike Avenue Suite 200, Allentown, PA 18103

Mailing Address

Phone number

(610) 530-8042

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 13,059,584

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

Joshua J. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua John Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2009

Series 63

Date: 3/20/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2010

Series 6

Date: 12/6/2006

FINRA

Current Firm

ROCHE ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCHE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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