Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Roach is a registered investment advisor representative with Flagstar Advisors. James has been working in the financial services industry since February 19, 1982. James is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) and has been working with Flagstar Advisors since July 2001. James provides investment advisory services to individuals, high-net-worth individuals, businesses, corporations, charitable organizations, pension and profit-sharing plans, and trusts. The firm offers a variety of investment advisory services, including portfolio management, financial planning, and pension consulting.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
FL
01/08/2025 - Present
Flagstar Advisors (Sarasota FL)
NY
06/19/2000 - 05/01/2001
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
02/04/1997 - 06/19/2000
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
NY
09/14/1992 - 01/14/1997
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
06/11/1992 - 09/15/1992
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
11/24/1990 - 05/19/1992
DOLLAR DRY DOCK INVESTMENT SERVICES, INC.
CA
02/06/1990 - 10/24/1990
MURPHEY FAVRE, INC. (IRVINE CA)
NA
08/29/1988 - 12/06/1989
GREAT LAKES EQUITIES CO.
NA
01/31/1982 - 12/14/1988
AMERICAN DIVERSIFIED DISTRIBUTORS CORP.
NA
08/17/1981 - 12/07/1981
AMERICAN GENERAL CAPITAL PLANNING, INC.
IA
Issued 07/10/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/14/1981
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1991
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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