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Michael Roche

Charles Schwab & Co., Inc.

Jersey City, NJ

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-01-12
  • NJ RA
    APPROVED
    Since 2023-01-12

Branch Locations

30 Hudson Street Floor 23, Jersey City, NJ 07302 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ftn Financial Capital Markets New York NY 01/2005 06/2017
Ftn Financial Securities Corp. New York NY 01/2005 06/2017
Edward Jones St.LOuis MO 12/2018 02/2019
Unemployed Aberdeen NJ 06/2017 12/2018
E*Trade Securities Llc Jersey City NJ 08/2019 12/2022
E*Trade Capital Management, Llc Jersey City NJ 08/2019 12/2022
Bank Of America Hazlet NJ 05/2019 08/2019
Charles Schwab & Co., Inc. Jersey City NJ 12/2022 Present
Unemployed Aberdeen NJ 02/2019 05/2019
  • 01/2005 → 06/2017
    Ftn Financial Capital Markets
    New York, NY
  • 01/2005 → 06/2017
    Ftn Financial Securities Corp.
    New York, NY
  • 12/2018 → 02/2019
    Edward Jones
    St.LOuis, MO
  • 06/2017 → 12/2018
    Unemployed
    Aberdeen, NJ
  • 08/2019 → 12/2022
    E*Trade Securities Llc
    Jersey City, NJ
  • 08/2019 → 12/2022
    E*Trade Capital Management, Llc
    Jersey City, NJ
  • 05/2019 → 08/2019
    Bank Of America
    Hazlet, NJ
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Jersey City, NJ
  • 02/2019 → 05/2019
    Unemployed
    Aberdeen, NJ
Previous Registrations
  • 2019-09-05 → 2022-12-16
    Harrisdirect Llc
    Arlington, VA
    Jersey City, NJ
  • 2019-01-03 → 2019-02-14
    Edward Jones
    Aberdeen, NJ
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-02
S63 Uniform Securities Agent State Law Examination 2001-06-11
  • S66 Uniform Combined State Law Examination
    2019-01-02
  • S63 Uniform Securities Agent State Law Examination
    2001-06-11
Other Names
  • Michael Patrick Roche
  • Michael Roche

View on SEC IAPD

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MORGAN STANLEY INVESTMENT MANAGEMENT INC. · NEW YORK, NY
MSRESS III MANAGER, L.L.C. · NEW YORK, NY
MS CAPITAL PARTNERS ADVISER INC. · NEW YORK, NY
MORGAN STANLEY INFRASTRUCTURE INC. · NEW YORK, NY
MORGAN STANLEY PRIVATE EQUITY ASIA, INC. · NEW YORK, NY
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