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Michael Roche

Charles Schwab & CO., Inc.

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About Michael Roche

Michael Roche is a financial advisor with Charles Schwab & CO., Inc., based in Jersey City, NJ. Michael Roche has been in the securities industry since May 2003 and has experience with Edward Jones, FTN Financial Securities Corp., Spear, Leeds & Kellogg, L.P. and E*TRADE SECURITIES LLC. Michael Roche holds Series 7, 63, and 66 licenses as well as the SIE exam. Michael Roche's firm, Charles Schwab & CO., Inc. offers a wide range of financial services including investment management, financial planning, and retirement planning.

Firm Information

Michael Roche is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Michael Roche’s Registration & Firm History

NJ

04/26/2023 - Present

Charles Schwab & CO., Inc. (Jersey City NJ)

NJ

09/03/2019 - 12/16/2022

E*TRADE SECURITIES LLC (Jersey City NJ)

MO

12/13/2018 - 02/14/2019

EDWARD JONES (ST. LOUIS MO)

NY

01/07/2005 - 06/30/2017

FTN FINANCIAL SECURITIES CORP (NEW YORK NY)

NY

05/01/2001 - 01/07/2005

SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/02/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/11/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/30/2017

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Roche.
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