Richard Roche, financial advisor Minneapolis MN
93 score

Richard Roche

CRD 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.

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Company Name Location Dates Years
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
Contact Info for Richard P. Roche
Phone Number: 781-639-3000
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    3
    MILLIONS
  • Total Number of Accounts
    1
    ACCOUNTS
  • Average Account Value
    $3,300,000
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
Types of Clients
Registered States

MA

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

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