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Richard Paul Roche

Little Harbor Advisors, LLC

Marblehead, MA

Minneapolis, MN

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Current Employers
Little Harbor Advisors, Llc

30 Doaks Lane, Marblehead, MA 01945 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2013-11-25
  • MA RA
    APPROVED
    Since 2013-11-25

Branch Locations

30 Doaks Lane, Marblehead, MA 01945 • United States

Minneapolis, MN • 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
Little Harbor Advisors, Llc Marblehead MA 04/2013 07/2024
Quasar Distributors, Llc Milwaukee WI 03/2018 12/2018
Crito Capital, Llc Westport CT 10/2020 07/2024
Wealth Effects Llc Newbury MA 07/2024 Present
  • 04/2013 → 07/2024
    Little Harbor Advisors, Llc
    Marblehead, MA
  • 03/2018 → 12/2018
    Quasar Distributors, Llc
    Milwaukee, WI
  • 10/2020 → 07/2024
    Crito Capital, Llc
    Westport, CT
  • 07/2024 → Present
    Wealth Effects Llc
    Newbury, MA
Previous Registrations
  • 2024-07-24 → 2026-05-14
    Wealth Effects
    Boston, MA
    Newbury, MA
  • 2009-10-28 → 2011-12-16
    Avatar Associates
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-01-30
S65 Uniform Investment Adviser Law Examination 2009-10-27
  • S63 Uniform Securities Agent State Law Examination
    2015-01-30
  • S65 Uniform Investment Adviser Law Examination
    2009-10-27
Other Names
  • Rick Roche

View on SEC IAPD

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EDWARD JONES · MARBLEHEAD, MA
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