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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Clancy Roche is a financial advisor with over 27 years of experience in the financial industry. John has held various roles at several firms, including Merrill Lynch, Oppenheimer & Co., Thornburg Securities Corporation, PNC Investments, and G. Distributors, LLC. Currently, John is an Investment Advisor Representative at Russell Investments. John's expertise covers a wide range of financial services including portfolio management, pension consulting, selection of other advisors, and portfolio management for businesses, individuals, investment companies, and pooled investment vehicles. John's career is highlighted by various exams and registrations. He has a Series 6, 7, 24, 63, and 65 license and holds investment advisor representative registrations in over 50 states. John is also a Certified Financial Planner.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
% of revenue/intracompany agrmts and % of assets/advsmt
1
2
WA
05/20/2024 - Present
Russell Investments (SEATTLE WA)
ME
09/18/2015 - 10/01/2018
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
NY
12/05/2013 - 08/25/2015
G.DISTRIBUTORS, LLC (RYE NY)
FL
11/21/2013 - 12/02/2013
PNC INVESTMENTS (FT. MYERS FL)
FL
11/06/2012 - 11/19/2013
OPPENHEIMER & CO. INC. (FORT LAUDERDALE FL)
NM
04/17/2008 - 10/10/2012
THORNBURG SECURITIES CORPORATION (SANTA FE NM)
FL
04/22/1998 - 03/13/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NAPLES FL)
MA
06/27/1995 - 04/15/1998
LONG GROVE TRADING CO. (BOSTON MA)
NJ
02/24/1995 - 06/28/1995
ELAN INVESTMENT SERVICES, INC. (MORRIS PLAINS NJ)
IL
09/08/1994 - 06/08/1995
FIRST COLONIAL INVESTMENT SERVICES, INC. (ROSEMONT IL)
CA
10/03/1994 - 04/28/1995
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
IL
10/15/1992 - 07/01/1994
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
NY
11/11/1991 - 10/13/1992
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 06/24/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/11/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/07/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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