James Roche
James Roche is a CFP, ChFC-designated registered investment advisor at Park Avenue Securities LLC, based in Garden City, NY, with 13 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.05% |
| $500K - $1000K | 2.00% |
| $1.0M - $2.0M | 1.95% |
| $2M+ | 1.90% |
Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.
Fee Estimator
Location
900 Stewart Avenue, Suite 500, Garden City, NY, 11530
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2018Other Business ActivitiesSells Insurance
James is involved in outside insurance sales, dedicating minimal time to this activity. He also created Roche Rentals, LLC for future rental property investments, spending minimal time on it.
Employment History
Current Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
State Registrations25 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
More Advisors
- Matthew Sawicki, ChFCPark Avenue Securities LLC
- Anthony Mazzei, ChFCPark Avenue Securities LLC
- William KatzPark Avenue Securities LLC
- Alexander Miradoli, CFP, ChFCPark Avenue Securities LLC
- Frank Bove, PFSPark Avenue Securities LLC
- Andrea Owen-BoydPark Avenue Securities LLC