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2686 S. Pike Avenue Suite 200, Allentown, PA 18103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2014-05-20 |
Branch Locations
2686 S. Pike Avenue Suite 200, Allentown, PA 18103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group Inc | Allentown | PA | 04/2014 | 07/2025 |
| Roche Asset Management, Llc | Allentown | PA | 01/2014 | Present |
| Lpl Financial Llc | Allentown | PA | 07/2025 | Present |
1. 07/2025 - Roche Financial Associates, LLC - DBA for LPL Business (entity for LPL business) - Allentown, PA - INV REL - Start Date 04/21/2014 - 40hrs/mth | 2hrs during trading 2. 07/2025 - Roche Asset Management, LLC - Registered Investment Advisor DBA - Allentown, PA - INV REL - Start Date 04/21/2014 - 150hrs/mth | 140hrs during trading 3. 07/2025 - Roche Painting LLC - Outside/W-2 Employment - Allentown, PA - NOT INV REL - Start Date 06/01/2023 - 78hrs/mth | 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-27 |
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