Joshua Roche
KESTRA ADVISORY SERVICES
Oklahoma City, OK 73142
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CRD#: 7145773
Professional summary
Joshua Roche, who also goes by Joshua Paul Roche, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Oklahoma City, Oklahoma and KESTRA INVESTMENT SERVICES, LLC located in Oklahoma City, Oklahoma.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Joshua has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua Paul 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.
Name: KESTRA ADVISORY SERVICES, LLC POSITION: Independent Contractor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 10/06/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Investment Advisor Representative through Kestra Advisory Services, LLC Name: MUSTANG PUBLIC SCHOOLS FOUNDATION POSITION: Board Member / Treasurer NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No# OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2021 ADDRESS: PO Box 714, Mustang OK 73064 DESCRIPTION: Attend monthly board meetings/workshops Participate in membership votes on new activities, policies and procedures Prepare financial statements for board meetings Provide education and awareness of the foundation to local community members and interested parties Complete treasurer duties, which include maintaining bank account and quickbooks account. Writing checks and recording deposits, preparing annual budget and giving guidance toward budget projections. We do not have an investment account or interest and do not plan to add one. Name: THE ROCHE GROUP WEALTH ADVISORS POSITION: Founder & Wealth Advisor NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 13104 N MacArthur Blvd, Suite B, Oklahoma City OK 73142 DESCRIPTION: Provide and maintain office space Name: ROCHE WEALTH POSITION: Founder & Wealth Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2025 ADDRESS: 13104 N MacArthur Blvd, Suite B, Oklahoma City OK 73142, United States DESCRIPTION: I am the lead financial advisor for our firm along with the founder of the business. I provide ongoing advice and investment management to clients and also run the day-to-day operations of the business.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua 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®
NoneExperience
Current
October 12, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 13104 N Macarthur Blvd Suite B, Oklahoma City, OK 73142RIA
CRD#: 283330
Oklahoma City, OK
Current
October 12, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 13104 N Macarthur Blvd Suite B, Oklahoma City, OK 73142BD
CRD#: 42046
Oklahoma City, OK
Past
September 16, 2019 - October 15, 2023
EDWARD JONES
RIA
CRD#: 250
MUSTANG, OK
Past
August 23, 2019 - October 15, 2023
EDWARD JONES
BD
CRD#: 250
MUSTANG, OK
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.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
Alaska(8/5/2025)
RR
Arkansas(11/12/2024)
RR
California(10/12/2023)
RR
Florida(10/12/2023)
RR
Kansas(4/11/2024)
RR
Kentucky(5/27/2025)
RR
Missouri(6/21/2024)
RR
North Carolina(10/16/2023)
RR
Oklahoma(10/12/2023)
IAR
Oklahoma(10/12/2023)
RR
Pennsylvania(10/12/2023)
RR
Texas(10/12/2023)
IAR
Texas(10/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/23/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
