Francis Roche

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 04/1978 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 07/2011 → Present
  Bank Of America, N.A.
  Chicago, IL

Other Businesses

(1)NON-PROFIT ORGANIZATION-FENWICK HIGH SCHOOL-550 W. WASHINGTON BLVD-OAK PARK ,IL-60305- NON INV- 1/2/2012-TRUSTEE-FENWICK HIGH SCHOOL IS A HIGH SCHOOL LOCATED IN OAK PARK. I AM A TRUSTEE ON THE STRATEGIC PLANNING AREA (2)1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: ANE AND FRANCIS ROCHE REALESTATE 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: 840 JACKSON, RIVER FOREST, ILLINOIS 60305 6.POSITION, TITLE, ASSOCIATION: TRUSTEE, 7.START DATE OF RELATIONSHIP: 3/12/2012 8.NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: WE OWN SOME RENTAL REAL ESTATE. IT IS LOCATED IN FLORIDA.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-01-24
• S63 Uniform Securities Agent State Law Examination
  1979-07-23

Other Names

• Francis Joseph Roche