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RB

Roberto J. Bosch

FORESIDE FINANCIAL SERVICES
New York, NY 10016
Some features on this profile are disabled
CRD#: 5355416
RB

Professional summary

Roberto Jose Bosch, who also goes by Roberto Jose Ochoa, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in New York, New York.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2016. Roberto has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roberto Jose Ochoa

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) - BD

Click below to view Roberto Jose Bosch'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

August 8, 2023 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 10 East 40th Street Suite 1310, New York, NY 10016
BD
CRD#: 148477
New York, NY
Past

January 11, 2016 - January 30, 2023

ABERDEEN FUND DISTRIBUTORS, LLC

BD
CRD#: 146230
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(8/8/2023)
RR
Alaska
(8/8/2023)
RR
Arizona
(8/8/2023)
RR
Arkansas
(8/8/2023)
RR
California
(8/8/2023)
RR
Colorado
(8/8/2023)
RR
Connecticut
(8/8/2023)
RR
Delaware
(8/8/2023)
RR
Florida
(8/8/2023)
RR
Georgia
(8/8/2023)
RR
Hawaii
(8/8/2023)
RR
Idaho
(8/8/2023)
RR
Illinois
(8/8/2023)
RR
Indiana
(8/8/2023)
RR
Iowa
(8/8/2023)
RR
Kansas
(8/8/2023)
RR
Kentucky
(8/8/2023)
RR
Louisiana
(8/8/2023)
RR
Maine
(8/8/2023)
RR
Maryland
(8/8/2023)
RR
Massachusetts
(8/8/2023)
RR
Michigan
(8/8/2023)
RR
Minnesota
(8/8/2023)
RR
Mississippi
(8/8/2023)
RR
Missouri
(8/8/2023)
RR
Montana
(8/8/2023)
RR
Nebraska
(8/8/2023)
RR
Nevada
(8/8/2023)
RR
New Hampshire
(8/8/2023)
RR
New Jersey
(8/8/2023)
RR
New Mexico
(8/8/2023)
RR
New York
(8/8/2023)
RR
North Carolina
(8/8/2023)
RR
North Dakota
(8/8/2023)
RR
Ohio
(8/8/2023)
RR
Oklahoma
(8/8/2023)
RR
Oregon
(8/8/2023)
RR
Pennsylvania
(8/8/2023)
RR
Puerto Rico
(8/8/2023)
RR
Rhode Island
(8/8/2023)
RR
South Carolina
(8/8/2023)
RR
South Dakota
(8/8/2023)
RR
Tennessee
(8/8/2023)
RR
Texas
(8/8/2023)
RR
Utah
(8/8/2023)
RR
Vermont
(8/8/2023)
RR
Virginia
(8/8/2023)
RR
Washington
(8/8/2023)
RR
West Virginia
(8/8/2023)
RR
Wisconsin
(8/8/2023)
RR
Wyoming
(8/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477New York, NY 10016

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