Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Roche has been in the financial industry since February 3, 1987 and is currently registered with Stonex Financial Inc. in New York, New York. Richard has held a number of positions at various firms, including Blaylock Van, LLC, BTIG, LLC, R.W. Pressprich & Co., Santander Investment Securities Inc., Mizuho Securities USA LLC, Jefferies LLC, Morgan Stanley & Co. Incorporated, Barclays Capital Inc., BNP Paribas Securities Corp., Prudential Securities Incorporated, and Bear, Stearns & Co. Inc. Richard holds a number of licenses, including Series 7, Series 24, Series 52TO, Series 53, Series 55, Series 57TO, Series 79TO, Series 82TO and the SIE exam.
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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2
NY
01/25/2024 - Present
Stonex Financial Inc. (NEW YORK NY)
NY
04/27/2023 - 02/02/2024
BLAYLOCK VAN, LLC (NEW YORK NY)
NY
04/08/2021 - 05/05/2023
BTIG, LLC (New York NY)
NY
05/11/2020 - 04/21/2021
R.W.PRESSPRICH & CO. (NEW YORK NY)
NY
07/16/2018 - 01/27/2020
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
NY
07/29/2014 - 07/16/2018
MIZUHO SECURITIES USA LLC (NEW YORK NY)
NY
06/01/2011 - 06/16/2014
JEFFERIES LLC (NEW YORK NY)
NY
10/28/2002 - 06/10/2011
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
01/19/2001 - 10/28/2002
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
12/18/2000 - 01/24/2001
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
02/01/1999 - 12/13/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/22/1996 - 09/30/1998
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/23/1986 - 05/07/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 07/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/08/1999
Series 24 - General Securities Principal Examination
BC
Issued 04/27/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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