James
Roach
Signature Securities
Answer a few questions and
get matched with an advisor.
About this Advisor
James Roach is a financial advisor who works in Brooklyn, New York who has 20 years of industry experience. Roach works at Signature Securities. They have spent the entirety of their career at Signature Securities. Roach maintains Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to work in Florida, Massachusetts, New Jersey, New York and Texas. Signature Securities is a registered investment company headquartered in New York, NY. It has offices in 16 locations and a total of 46 employees. It administers $940 million in assets among its 2,026 customer accounts, placing it among the bigger financial advisory firms in the country by assets under management. The firm advises five charitable organizations. Of its 2,026 accounts, just 13% are associated with high-net-worth investors who have more than $1 million in investable assets. The firm performs a number of services, such as portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. Financial management fee schedules vary depending on which services the firm provides the client. However, fee types charged by Signature Securities typically consist of asset-based fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
Not sure which advisor is right for you? Use our matching tool.
Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.
Signature Securities Brokerage Details
$939,906,760
46
2,026
$463,922
Investment Advisory Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
James Roach Work History
James has been registered as a financial advisor for 20 years.*
Signature Securities Group Corp./Signature Bank
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of James Roach to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Signature Securities Group Corp
New York, NY
Brooklyn, NY
New York, NY
New York, NY
New York, NY
Garden City, NY
Brooklyn, NY
Great Neck, NY
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.
This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.
This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
