James RoachCRD Number: 736103
Current Firm: Signature Securities Group Corp.
James Roach (CRD# 736103) is an Investment Advisor Representative working at Signature Securities Group Corp. in Brooklyn, NY and has over 32 years of experience in the finance industry.
Financial Life Focus, LLC
Park Avenue Securities LLC
|Signature Securities Group Corp./signature Bank||New York, NY||Jul 2001 - Current||21|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1990|
|S65||NASAA Investment Advisors Law Examination||Jul 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management1,095MILLIONS
Total Number of Accounts1,964ACCOUNTS
Average Account Value$557,668
- A percentage of assets under your management
- 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)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, WI, WV, WY
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