Vern Roach CFP

Advisor Type: Dual Registered
Designations: CFP
Years of Experience: 20
11807 Eden Estates Dr
Carmel, IN 46033
Phone:    (317) 826-4920

Years of Experience

Shaded area represents years of experience for all 6,893 IN advisors.
Experience measure for this advisor is drawn from government filings as of 7/1/13.

As of 7.1.13

Certifications & Designations

Certified Financial Planner (CFP)

An exam-based designation with required ongoing education. The CFP covers broad knowledge of financial planning topics and strategies, and prerequisites include a bachelor’s degree and a three-year work history. 7% of IN advisors hold a CFP.

Designation information is drawn from Form ADV filings.

As of 7.1.13

Client Types

Client information is for Edward Jones and are based on the percentage of assets under management.

Client Type Percentage of Assets
Individuals 00
High Net Worth Individuals 25
Corporations or Other Businesses 25
Charitable Organizations 25
Other 25

Client types are by firm, and represent a percentage of assets under management. For additional information on Vern Roach’s client base, please contact the advisor.

As of 7.1.13

Disclosure Events

This advisor has no disclosure filings listed.

When financial advisors have events in their practice that could influence their ability to advise clients, they’re required to disclose those events to regulators. Such disclosure event filings can include certain criminal and civil matters, regulatory actions against them, customer complaints or instances of arbitration or termination of employment. The existence of such filings may not result in censure or penalty for an advisor and customer complaints against advisors may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor. For more detailed information on Vern Roach’s conduct, please visit Finra’s BrokerCheck, the SEC’s Investment Adviser Public Disclosure database, or your state’s regulatory agencies.

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