David Roche is a registered investment advisor at LPL Financial LLC, based in Brentwood, CA, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
8660 Brentwood Boulevard, Suite G, Brentwood, CA, 94513
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David is involved in several business activities, including ownership in Pacheco Parking Lot, Woodrow Roche Ranch LLC, Stanley D Roche Ranch LLC, Millbrae Building, a rental farm, Truckee Rental, and Apex Securities & Asset Management Corp. He also serves as co-trustee for his mother and trustee for the Apex Securities & Asset Management 401k Plan; his ownership in Apex Securities & Asset Management Corp takes nearly full-time hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Painewebber IncorporatedBroker
Baraban Securities, INC.Broker
State Registrations19 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.