David Roche, financial advisor Brentwood CA
93 score

David Roche

CRD Number: 1907760
Current Firm: Wells Fargo Advisors Financial Network, LLC

David Roche (CRD# 1907760) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Brentwood, CA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network LLC Brentwood, CA Jul 2009 - Current 7
Morgan Stanley Smith Barney Brentwood, CA Jun 2009 - Jul 2009 < 1
Morgan Stanley Smith Barney New York, NY Jun 2009 - Jun 2009 < 1
Morgan Stanley & Company, Incorporated Brentwood, CA Apr 2007 - Jun 2009 2
Morgan Stanley Dw, Inc. Concord, CA Mar 1993 - Apr 2007 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1989
S65 NASAA Investment Advisors Law Examination Apr 2008
Contact Info for David S. Roche
Phone Number: 314-875-3000
Firm Website: http://www.wachovia.com
Registered State(s):
  • AZ
  • CA
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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