Bob Roach Headshot.JPG

Bob Roach


Bob has been a licensed Series 24 principal since 1996 and a licensed Series 28 FINOP since 2003.  He possesses extensive experience as a broker-dealer principal, CFO, FINOP and Chief Compliance Officer.  In addition to financial oversight and regulatory (FINRA) filings, Bob's experiences include: raising equity & debt capital for small/middle market businesses, private placements, mergers and acquisition advisory,  oversight of investment banking and fund wholesaling broker-dealer businesses and operational management of mutual funds.  He holds the FINRA Series 7, 24, 28, 66, 79, 87 & 99 licenses as well as an MBA in Finance from the University of Chicago - Booth School of Business, and a BA in Economics from Dartmouth College.