Paul Roche is a registered investment advisor, based in Boston, MA, with 27 years of industry experience.
Location
100 Federal St, Boston, MA, 02110
Get directionsHistory
Regulatory History
Clean regulatory record
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.
Learn about disclosures →Employment History
Current Registrations
Franklin Distributors, LLC
July 2024 - Present · 1 yr 10 mos
Franklin Distributors, LLCBroker
July 2024 - Present · 1 yr 10 mos
Putnam Investment Management, LLC
February 2008 - Present · 18 yrs 3 mos
Previous Registrations
Putnam Investment Management, LLC
July 2007 - January 2008 · 6 mos
Putnam Retail Management Limited PartnershipBroker
April 2006 - July 2024 · 18 yrs 3 mos
Nylife Securities INC.Broker
September 2005 - March 2006 · 6 mos
Assent LLCBroker
August 2004 - February 2005 · 6 mos
Moors & Cabot, INC.Broker
July 1999 - August 2004 · 5 yrs 1 mo
Dresdner Kleinwort Benson North America LLCBroker
June 1998 - July 1999 · 1 yr 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.