John Roche is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Melville, NY, with 40 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
401 Broadhollow Rd, Melville, NY, 11747
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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John has 100% ownership in John J Roche CFP Inc. since 2021, spending about a quarter of his time on this investment-related activity. He also has a small ownership stake in FMRG Holdings, LLC, dedicating minimal time to managing the Finet office property.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
Previous Registrations
UBS Financial Services INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
State Registrations29 states
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
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