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Francis Roche

Wells Fargo Advisors
43 Years of Experience
Bismarck, ND
2 DisclosuresBroker
View SEC Summary
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Francis Roche is a registered investment advisor at Wells Fargo Advisors, based in Bismarck, ND, with 43 years of industry experience. Francis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

4501 Coleman St, Ste 204, Bismarck, ND, 58503

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 1993
Settled
Customer Dispute
April 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Francis is a board member of the Crestline Area Neighborhood Association, spending minimal time discussing neighborhood issues. He also helps with the books for Cathleen Roche Interiors, which is 100% owned by his spouse, and co-owns Salvation by Grace, LLC with his spouse to discuss real estate investments, both taking minimal time.

Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
October 2016 - Present · 10 yrs
Wells Fargo Advisors
October 2016 - Present · 10 yrs
Previous Registrations
Oppenheimer & CO. INC.
April 2015 - October 2016 · 1 yr 6 mos
Oppenheimer & CO. INC.Broker
April 2015 - October 2016 · 1 yr 6 mos
Robert W. Baird & CO. Incorporated
March 2014 - April 2015 · 1 yr 1 mo
Robert W. Baird & CO. IncorporatedBroker
March 2014 - April 2015 · 1 yr 1 mo
RBC Capital Markets CorporationBroker
September 2006 - February 2008 · 1 yr 5 mos
RBC Capital Markets, LLC
May 2002 - April 2014 · 11 yrs 11 mos
RBC Capital Markets, LLCBroker
March 2002 - April 2014 · 12 yrs 1 mo
Sutro & CO. IncorporatedBroker
May 2000 - March 2002 · 1 yr 10 mos
Painewebber IncorporatedBroker
January 1995 - June 2000 · 5 yrs 5 mos
Kidder, Peabody & CO. IncorporatedBroker
July 1994 - January 1995 · 6 mos
Prudential Securities IncorporatedBroker
December 1987 - July 1994 · 6 yrs 7 mos
William Blair & CompanyBroker
September 1986 - December 1987 · 1 yr 3 mos
E. F. Hutton & Company INCBroker
May 1984 - October 1986 · 2 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1983 - May 1984 · 1 yr 1 mo
State Registrations11 states
ARCAILMAMNMONDOKTXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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