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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

FRANCIS X ROCHE

Advisor at WELLS FARGO ADVISORS

WAYZATA, MN | BISMARCK, ND

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Search this name across graphsid dfx:ria:94fc805e-0cce-33a2-de8c-af52a3eddc00

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 19, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Apr 19, 1983
First registration: May 14, 2002
Dual registered: yes, broker-dealer
Other names: F X ROCHE|FRANCIS XAVIER ROCHE|FRAN ROCHE|FRANCIS XAVIER ROCHE
IAPD individual key: 1108960

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 12, 2016	n/a	yes	BISMARCK, ND\|BISMARCK, ND\|WAYZATA, MN\|WAYZATA, MN	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Apr 15, 2015	Oct 18, 2016	no	SAN FRANCISCO, CA	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Mar 17, 2014	Apr 21, 2015	no	Mill Valley, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 14, 2002	Apr 7, 2014	no	SAN FRANCISCO, CA\|CARMEL, CA\|NAPA, CA\|MISSOULA, MT\|GRASS VALLEY, CA\|SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OPPENHEIMER & CO. INC.	WELLS FARGO ADVISORS	Oct 18, 2016	Oct 12, 2016	-6	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	OPPENHEIMER & CO. INC.	Apr 21, 2015	Apr 15, 2015	-6	Firm change	Other
RBC CAPITAL MARKETS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	Apr 7, 2014	Mar 17, 2014	-21	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 12, 2016 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Apr 15, 2015 to Oct 18, 2016factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Mar 17, 2014 to Apr 21, 2015factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
May 14, 2002 to Apr 7, 2014factForm ADV

Dated events

No dated event names this entity yet.