Natalie A. Roche
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Natalie Ann Roche, who also goes by Natalie Ann Hogg, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 1985. Natalie had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 15, 2011 - July 13, 2018
STRATEGIC ADVISERS LLC
June 3, 2011 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
August 6, 1993 - February 20, 1997
FIDELITY BROKERAGE SERVICES LLC
May 29, 1990 - April 21, 1993
UNION TRUST BROKERAGE SERVICES, INC.
October 3, 1988 - December 11, 1989
DOMINICK & DICKERMAN LLC
September 17, 1987 - October 4, 1988
DOMIK CORP.
September 25, 1985 - September 18, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/21/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
