John Judge Roche

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-06-18
NY	RA	APPROVED	2021-07-27
NJ	RA	APPROVED	2006-01-10

TX RA
APPROVED

Since 2024-06-18
NY RA
APPROVED

Since 2021-07-27
NJ RA
APPROVED

Since 2006-01-10

Branch Locations

401 Broadhollow Rd, Melville, NY 11747 • 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

Organization	City	State	From	To
Wells Fargo Advisors Financial Network Llc	Melville	NY	05/2009	Present

05/2009 → Present

Wells Fargo Advisors Financial Network Llc

Melville, NY

Other Businesses

JOHN J ROCHE CFP INC, INV RELATED, GREENLAWN, NY, 100% OWNERSHIP, START 9/16/2021, 40 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET PRACTICE. FMRG HOLDINGS, LLC; INVESTMENT RELATED; MELVILLE,NY; 8.333% OWNERSHIP; START 2/1/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; LLC TO MANAGE FINET OFFICE PRPERTY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-12-19
S63	Uniform Securities Agent State Law Examination	1986-08-14

S65 Uniform Investment Adviser Law Examination

2005-12-19
S63 Uniform Securities Agent State Law Examination

1986-08-14

Designations

Certified Financial Planner

View on SEC IAPD