James Patrick Roche

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 07/2001 → 01/2025
  Lincoln Financial Advisors Corporation
  Saunderstown, RI
• 01/2025 → Present
  Osaic Wealth, Inc.
  Saunderstown, RI

Previous Registrations

• 2002-05-16 → 2025-01-24
  Osaic Fa, Inc.
  Douglas, MA
  Hartford, CT
  Saunderstown, RI
  Douglas, MA
  Saunderstown, RI

Other Businesses

1. JAMES P. ROCHE POSITION: Agent NATURE: Insurance sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/11/2011 ADDRESS: 212 Indian Trail, Saunderstown RI 02874, United States DESCRIPTION: Fixed annuity and insurance sales. 2. IRONBRIDGE WEALTH COUNSEL, LLC POSITION: Private Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/27/2025 ADDRESS: 4425 South Mopac, Building II, Suite 100, Austin TX 78735, United States DESCRIPTION: Use IronBridge Wealth Counsel, LLC as marketing name for securities business. 3. TRUSTEE FOR THE ROCHE FAMILY IRREVOCABLE INCOME TRUST POSITION: Trustee NATURE: Family trust to hold assets for the benefit of my parents. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/03/2014 ADDRESS: 212 Indian Trail, Saunderstown RI 02874, United States DESCRIPTION: In my role as Trustee, I will make investment decisions consistent with the needs and wishes of the grantors of the trust, when appropriate.

Exams

• S66 Uniform Combined State Law Examination
  2002-04-09
• S63 Uniform Securities Agent State Law Examination
  1997-05-19

Designations

• Certified Financial Planner

Other Names

• Jim Roche