Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis X Roche is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Francis has been in the industry since 1983 and has held registrations with various firms, including Oppenheimer & Co. Inc., Robert W. Baird & Co. Incorporated, RBC Capital Markets, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Francis specializes in providing financial planning, portfolio management for businesses and individuals and selection of other advisors. Francis holds the Series 3, 7, 9, 10, 15, 24, 63 and 65 licenses. Francis is registered to provide investment advisory services in Minnesota, North Dakota, Oklahoma, and Texas. Francis's office is located in WAYZATA, MN and the firm's main office is in ST. LOUIS, MO.
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
MN
10/12/2016 - Present
Wells Fargo Clearing Services, LLC (WAYZATA MN)
CA
04/15/2015 - 10/18/2016
OPPENHEIMER & CO. INC. (SAN FRANCISCO CA)
CA
03/17/2014 - 04/21/2015
ROBERT W. BAIRD & CO. INCORPORATED (SAN FRANCISCO CA)
CA
03/09/2002 - 04/07/2014
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
09/27/2006 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (SAN FRANCISCO CA)
CA
05/18/2000 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NJ
01/28/1995 - 06/23/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/25/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
12/18/1987 - 07/07/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/15/1986 - 12/23/1987
WILLIAM BLAIR & COMPANY
NA
05/22/1984 - 10/07/1986
E. F. HUTTON & COMPANY INC
NA
04/19/1983 - 05/11/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/06/2013
Series 24 - General Securities Principal Examination
BC
Issued 02/25/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/1991
Series 15 - Foreign Currency Options Examination
BC
Issued 10/26/1990
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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