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Detailed Report
MATTHEW JOSEPH ROCHE
Matthew Roche
CRD#: 6561879
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Hoboken, NJ
CITI PRIVATE ALTERNATIVES, LLCCRD#: 153777 Citi Private Bank
388 Greenwich Street, 25th/29th Floor
New York, NY 10013
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BCITI PRIVATE ALTERNATIVES, LLC (CRD# 153777)2020 - Present (5 years)
License(s)

State Registrations

B
Arizona 1/8/2020
B
Nevada 1/8/2020
B
California 1/8/2020
B
New Hampshire 1/8/2020
B
Colorado 1/8/2020
B
New Jersey 12/11/2017
B
Connecticut 1/8/2020
IA
New Jersey 12/11/2017
B
Delaware 1/9/2020
B
New York 12/11/2017
B
District of Columbia 1/9/2020
IA
New York 8/17/2021
B
Florida 1/8/2020
B
North Carolina 1/9/2020
B
Georgia 1/9/2020
B
Oregon 1/8/2020
B
Illinois 1/8/2020
B
Pennsylvania 1/9/2020
B
Maine 1/8/2020
B
Rhode Island 1/8/2020
B
Maryland 1/8/2020
B
Texas 1/9/2020
B
Massachusetts 1/9/2020
B
Vermont 1/8/2020
B
Minnesota 1/8/2020
B
Virginia 1/9/2020
B
Missouri 1/8/2020
B
Washington 1/8/2020
B
Montana 1/8/2020
B
Wyoming 1/8/2020

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CITI PRIVATE ALTERNATIVES, LLC (CRD#:153777)
Citi Private Bank 388 Greenwich Street, 25th/29th Floor, New York, NY 10013
Hoboken, NJ
Registered with this firm since 1/9/2020
IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Hoboken, NJ
Citi Private Bank 388 Greenwich Street, 25th/29th Floor, New York, NY 10013
Registered with this firm since 12/11/2017
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Hoboken, NJ
Citi Private Bank 388 Greenwich Street, 25th/29th Floor, New York, NY 10013
Registered with this firm since 12/11/2017
Previous Registration(s)
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IA
 12/15/2016 - 11/24/2017 SANTANDER SECURITIES (CRD#:41791) Florham Park, NJ
B
 12/14/2016 - 11/24/2017 SANTANDER SECURITIES LLC (CRD#:41791) Florham Park, NJ
IA
 12/24/2015 - 12/06/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENNINGTON, NJ
B
 11/06/2015 - 12/06/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENNINGTON, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.