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JAMES PATRICK ROCHE
JIM ROCHE
CRD#: 2709760
IA
Investment Adviser
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Broker
OSAIC WEALTH, INC.CRD#: 23131 SAUNDERSTOWN, RI
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2025 - Present (<1 year)BOSAIC FA, INC. (CRD# 3978)2001 - 2025 (23 years)BTHE LINCOLN NATIONAL LIFE INSU... (CRD# 2580)2001 - 2006 (4 years)BCIGNA FINANCIAL SERVICES, INC. (CRD# 40596)1997 - 2000 (3 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)1996 - 1997 (1 year)IAOSAIC FA, INC. (CRD# 3978)2002 - 2025 (22 years)
License(s)

State Registrations

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Arizona 1/24/2025

B
New Hampshire 1/24/2025

B
California 1/24/2025

B
New York 1/24/2025

B
Connecticut 1/24/2025

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Ohio 1/24/2025

B
Florida 1/24/2025

B
Oregon 1/24/2025

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Florida 1/24/2025

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Pennsylvania 1/24/2025

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Hawaii 1/24/2025

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Rhode Island 1/24/2025

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Illinois 1/24/2025

IA
Rhode Island 1/24/2025

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Maine 1/24/2025

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Texas 1/24/2025

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Massachusetts 1/24/2025

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Texas 1/24/2025

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Massachusetts 1/24/2025

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Vermont 1/24/2025

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Mississippi 1/24/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
SAUNDERSTOWN, RI
Registered with this firm since 1/24/2025

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OSAIC WEALTH, INC. (CRD#:23131)
SAUNDERSTOWN, RI
Registered with this firm since 1/24/2025

Previous Registration(s)
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05/16/2002 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SAUNDERSTOWN, RI
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08/03/2001 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SAUNDERSTOWN, RI
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08/03/2001 - 06/08/2006 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
B
04/16/1997 - 06/08/2000 CIGNA FINANCIAL SERVICES, INC. (CRD#:40596) HARTFORD, CT
B
02/20/1996 - 03/08/1997 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.