John Roche
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.
John Roche, who also goes by John Crosby Roche, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2009. John had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2021 - December 31, 2022
INTE SECURITIES LLC
March 2, 2018 - December 14, 2020
J.P. MORGAN SECURITIES LLC
December 14, 2017 - December 14, 2020
J.P. MORGAN SECURITIES LLC
June 12, 2012 - October 14, 2014
FIDUCIARY INVESTMENT ADVISORS, LLC
June 15, 2011 - May 31, 2012
LPL FINANCIAL LLC
June 15, 2011 - May 31, 2012
LPL FINANCIAL LLC
June 4, 2010 - June 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2010 - June 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2009 - June 7, 2010
EDWARD JONES
September 7, 2009 - June 7, 2010
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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