Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Roche is a financial advisor with Wells Fargo Advisors Financial Network, LLC. David has been in the financial industry since 1989. David holds a Series 7, Series 24, Series 31, and Series 63 licenses. David is registered with the state of California. David provides investment consulting services to institutional clients, financial planning, pension consulting, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/28/2020 - Present
Wells Fargo Advisors Financial Network, LLC (BRENTWOOD CA)
CA
06/01/2009 - 07/27/2009
MORGAN STANLEY SMITH BARNEY (CONCORD CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BRENTWOOD CA)
CA
03/16/1993 - 04/02/2007
MORGAN STANLEY DW INC. (BRENTWOOD CA)
NJ
03/13/1989 - 04/27/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
02/22/1989 - 03/13/1989
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 04/22/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 02/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure David Roche is the right advisor for you? Invested Better is here to help.
