Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Roche is a financial advisor who has been in the industry since 1996. Sean is currently registered with LPL Financial LLC and has been with the firm since December 2024. Prior to that, Sean worked for Fulton Financial Advisors and Raymond James Financial Services. Sean has a wide range of experience in the financial services industry, including investment advisory services, insurance sales, and wealth management. Sean has been a registered representative of several firms, including Santander Securities LLC, Wells Fargo Advisors, LLC, PNC Investments, Banc of America Investment Services, Inc., Moors & Cabot Financial Advisors, LLC, Jefferies Execution Services, Inc., RBC Capital Markets Corporation, RBC Dain Rauscher Inc., and Quick & Reilly, Inc. Sean is licensed to sell securities in Alabama, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, and Washington. Sean has a strong track record of success in the financial services industry. Sean is committed to providing his clients with the highest level of service and expertise.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
NJ
12/11/2024 - Present
LPL Financial LLC (EATONTOWN NJ)
NJ
09/10/2015 - 04/02/2018
SANTANDER SECURITIES LLC (BRICK NJ)
NJ
08/26/2011 - 09/03/2015
WELLS FARGO ADVISORS, LLC (OAKHURST NJ)
NJ
05/08/2009 - 08/29/2011
PNC INVESTMENTS (BRICK TOWN NJ)
NJ
04/10/2007 - 05/04/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (OLD BRIDGE NJ)
NJ
12/14/2006 - 02/28/2007
MOORS & CABOT FINANCIAL ADVISORS, LLC (SEA GIRT NJ)
NY
04/07/2006 - 11/09/2006
JEFFERIES EXECUTION SERVICES, INC. (NEW YORK NY)
NY
02/22/2002 - 04/07/2006
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
09/05/2000 - 07/20/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
05/29/1998 - 09/01/2000
QUICK & REILLY, INC. (NEW YORK NY)
NY
05/24/1996 - 02/26/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
BOTH
Issued 04/26/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/14/2000
Series 25 - NYSE Trading Assistant Examination
BC
Issued 05/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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