Scot Roche, JD, CPA, PFS
Rockford, Illinois, 61108
My Location
Background Information
Years of Financial Experience
- 11
Education
- Marquette University (JD)
- Grand View University (BA)
Certifications and Designations
- JD
- CPA
- PFS
Association Memberships
- AICPA
- State Bar of Wisconsin
Methods of Compensation
- Financial Planning: Hourly fee, Fixed fee
- Investment Services: Asset-based fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Schwab
Types of Financial Reports
- Performance Report (Monthly)
- Market Environment Report (Quarterly)
- Custodial Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them annually
- I review my clients' investment portfolios with them quarterly and annually
Registration & Licensing
- CRD/IARD Number: 4428864
- Securities Registrations: Series 65
- Insurance Licenses: None
Company Names
- Registered Investment Advisor: Scot P. Roche
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Planning Services
- Financial Planning, College Funding, Estate, Charitable, Hourly, Current Review
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Active Managers, Passive Managers, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- None
Visit Website - http://www.wipflihewins.com
