James Joseph Roach Iii
Professional Summary
James Joseph Roach III, who also goes by James Joseph Roach, is a registered financial advisor currently at FLAGSTAR SECURITIES, INC located in Sarasota, Florida. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Joseph Roach
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
48 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
FLAGSTAR ADVISORS | SIGNATURE SECURITIES GROUP CORPORATION | SIGNATURE SECURITIES GROUP CORP. | SIGNATURE SECURITIES | FLAGSTAR SECURITIES, INC. | FLAGSTAR SECURITIES, INC | FLAGSTAR ADVISORS, INC. | FLAGSTAR ADVISORS INC
Contact Information
Main Address
1400 Broadway 16th Floor 16th Floor, New York, NY, 10018Mailing Address
1400 Broadway 16th Floor, New York, NY, 10018Phone Number
(646) 822-1475Established
New York since 05/26/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
37SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTAR BANK, N.A. | SHAREHOLDER | — |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 3261251 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 6106821 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 4463942 |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 4934669 |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2120399 |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2226562 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 3161430 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 7987857 |
Regulatory Assets Under Management
Total Number of Accounts
1,123AUM (Assets Under Management)
$784,311,024Disclosures
Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FLAGSTAR ADVISORS | SIGNATURE SECURITIES GROUP CORPORATION | SIGNATURE SECURITIES GROUP CORP. | SIGNATURE SECURITIES | FLAGSTAR SECURITIES, INC. | FLAGSTAR SECURITIES, INC | FLAGSTAR ADVISORS, INC. | FLAGSTAR ADVISORS INC
State Registrations and Notice Filings
(11/17/2025)
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(5/1/2001)
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(1/2/2001)
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(8/26/2025)
(8/13/2026)
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(8/27/2025)
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(1/24/2025)
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(1/18/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 1 — Registered Representative Examination
Passed Jul 1978Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1981About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Roach III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Roach III's CRS (Customer Relationship Summary).
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