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 Minneapolis, MN and has over 8 years of experience in the finance industry.
Brown Wealth Management, LLC
Phillip James Financial Company
Allodium Investment Consultants, LLC
|Foreside Fund Services, LLC||Minneapolis, MN||Aug 2014 - Current||3|
|Little Harbor Advisors, LLC||Marblehead, MA||Apr 2013 - Current||5|
|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 Management3MILLIONS
Total Number of Accounts1ACCOUNTS
Average Account Value$3,300,000
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for pooled investment vehicles (other than investment companies)
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