Timothy Dj Roche

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 01/2022
  Jpmorgan Securities Llc
  Petaluma, CA
• 02/2022 → 03/2022
  Tcfg Wealth Management, Llc
  Novato, CA
• 03/2022 → 05/2022
  U.S. Bancorp Investments, Inc.
  San Francisco, CA
• 05/2022 → 05/2024
  Citigroup
  San Rafael, NY
• 09/2024 → Present
  Lpl Financial Llc
  San Francisco, CA
• 09/2024 → Present
  Golden 1 Credit Union
  San Francisco, CA
• 05/2024 → 09/2024
  Unemployed
  San Francisco, CA

Previous Registrations

• 2022-06-06 → 2024-06-10
  Citigroup Global Markets Inc.
  Fresno, CA
  San Francisco, CA
  San Rafael, CA
  Los Angeles, CA
  San Francisco, CA
  San Francisco, CA
  Mill Valley, CA
• 2022-03-10 → 2022-06-02
  U.S. Bancorp Investments, Inc.
  San Francisco, CA
• 2022-02-17 → 2022-03-28
  Tcfg Investment Advisors, Llc
  Novato, CA
  Laguna Niguel, CA
• 2015-01-30 → 2022-01-21
  J.P. Morgan Securities Llc
  Pittsburg, CA
  Petaluma, CA
  Petaluma, CA
  Petaluma, CA
  Novato, CA
  Mill Valley, CA
• 2014-10-23 → 2015-01-26
  Wells Fargo Clearing Services, Llc
  Corte Madera, CA
• 2014-08-05 → 2014-10-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA

Other Businesses

1) 09/2024 - Golden 1 Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-08-04
• S63 Uniform Securities Agent State Law Examination
  2012-08-10

Other Names

• Timothy David Roche
• Timothy Dj Roche
• Timothy David Roche
• Tim Roche
• Timothy David Roche
• Timothy Roche