James Roque, financial advisor Sarasota FL
93 score

James Roque

CRD Number: 3032790
Current Firm: Suntrust Investment Services, Inc.

James Roque (CRD# 3032790) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Sarasota, FL and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Suntrust Investment Services, Inc. Atlanta, GA Jul 2014 - Current 2
Suntrust Bank Sarasota, FL Jun 2014 - Current 2
Td Private Client Wealth LLC Ramsey, NJ Sep 2013 - May 2014 < 1
Td Bank, N.a. Ramsey, NJ Jun 2006 - May 2014 7
Td Bank Ramsey, NJ Jun 2006 - May 2014 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1998
S66 NASAA Uniform Combined State Law Examination Nov 2013
Contact Info for James P. Roque
Phone Number: 404-813-8981
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    10,443
    MILLIONS
  • Total Number of Accounts
    26,841
    ACCOUNTS
  • Average Account Value
    $389,077
Compensation Options
  • A percentage of assets under your management
  • 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, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, 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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