Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thomas Roche is a registered representative with Charles Schwab & CO., Inc. William has been in the financial industry since 2014. William was previously registered with TD AMERITRADE, INC. and WADDELL & REED. William has a Series 7, Series 66 and SIE license. William is registered in 23 states.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
01/26/2022 - Present
Charles Schwab & CO., Inc. (Carlsbad CA)
CA
02/16/2016 - 07/29/2024
TD AMERITRADE, INC. (Carlsbad CA)
CA
01/24/2014 - 01/15/2016
WADDELL & REED (SAN DIEGO CA)
BOTH
Issued 05/28/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/24/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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