Richard RocheCRD Number: 1002171
Current Firm: Little Harbor Advisors, LLC
Richard Roche (CRD# 1002171) is an Investment Advisor Representative working at Little Harbor Advisors, LLC in Marblehead, MA and has over 7 years of experience in the finance industry.
Walnut Hill Advisors, LLC
|Foreside Fund Services, LLC||Minneapolis, MN||Aug 2014 - Current||3|
|Little Harbor Advisors, LLC||Marblehead, MA||Apr 2013 - Current||4|
|Roche Securities Sales Training||Minneapolis, MN||Aug 2011 - Apr 2013||1|
|Avatar Associates||New York, NY||Jan 2009 - Aug 2011||2|
|Alternative Asset Investment Management Securities, LLC||New York, NY||Dec 2007 - Dec 2008||1|
|Roche Securities Sales Training||Minneapolis, MN||Mar 2000 - Dec 2008||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2015|
|S65||NASAA Investment Advisors Law Examination||Oct 2009|
Total Assets Under Management6MILLIONS
Total Number of Accounts1ACCOUNTS
Average Account Value$6,200,000
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for investment companies (as well as "business development companies")
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.