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Detailed Report
Ian David Roach
Ian D Roach
CRD#: 7182198
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 Tampa, FL
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 6/2/2021
IA
Missouri 6/2/2021
B
Alaska 6/2/2021
B
Montana 6/2/2021
B
Arizona 6/2/2021
B
Nebraska 6/2/2021
B
Arkansas 6/2/2021
B
Nevada 6/2/2021
B
California 6/2/2021
B
New Hampshire 6/2/2021
B
Colorado 6/2/2021
B
New Jersey 6/2/2021
B
Connecticut 6/2/2021
B
New Mexico 6/2/2021
B
Delaware 6/2/2021
B
New York 6/2/2021
B
District of Columbia 6/2/2021
B
North Carolina 6/2/2021
B
Florida 6/2/2021
B
North Dakota 6/2/2021
IA
Florida 6/3/2021
B
Ohio 6/2/2021
B
Georgia 6/2/2021
B
Oklahoma 6/2/2021
B
Hawaii 6/2/2021
B
Oregon 6/2/2021
B
Idaho 6/2/2021
B
Pennsylvania 6/2/2021
B
Illinois 6/2/2021
B
Rhode Island 6/2/2021
B
Indiana 6/2/2021
B
South Carolina 6/2/2021
B
Iowa 6/2/2021
B
South Dakota 6/2/2021
B
Kansas 6/2/2021
B
Tennessee 6/2/2021
B
Kentucky 6/2/2021
B
Texas 6/2/2021
B
Louisiana 6/2/2021
IA
Texas 6/3/2021
B
Maine 6/2/2021
B
Utah 6/2/2021
B
Maryland 6/2/2021
B
Vermont 6/2/2021
B
Massachusetts 6/2/2021
B
Virginia 6/2/2021
B
Michigan 6/2/2021
B
Washington 6/2/2021
B
Minnesota 6/2/2021
B
West Virginia 6/2/2021
B
Mississippi 6/2/2021
B
Wisconsin 6/2/2021
B
Missouri 6/2/2021
B
Wyoming 6/2/2021

SRO Registrations

B
 FINRA
B
 NYSE American 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)
IA
EDWARD JONES (CRD#:250)
Tampa, FL
Registered with this firm since 6/2/2021
B
EDWARD JONES (CRD#:250)
Tampa, FL
Registered with this firm since 6/2/2021
Previous Registration(s)
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IA
 11/20/2020 - 06/10/2021 MORGAN STANLEY (CRD#:149777) TAMPA, FL
B
 11/19/2020 - 06/10/2021 MORGAN STANLEY (CRD#:149777) TAMPA, FL
IA
 12/17/2019 - 06/16/2020 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 11/21/2019 - 06/16/2020 EDWARD JONES (CRD#:250) ST LOUIS, MO
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.