Sophia L. Roach

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CRD#: 2199014

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.

Sophia Laurence Roach, who also goes by Laurie Roach, was a registered financial professional .

Sophia is a previously registered financial professional and started their career in finance in 1987. Sophia had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Laurie Roach

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 12, 2010 - June 13, 2016

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

AUSTIN, TX

Past

April 15, 2009 - June 8, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

AUSTIN, TX

Past

February 26, 2001 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

PALO ALTO, CA

Past

January 22, 1997 - December 5, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PALO ALTO, CA

Past

January 10, 1994 - December 5, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

AUSTIN, TX

Past

July 29, 1993 - October 25, 1993

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

April 29, 1993 - July 13, 1993

DRAYER GROUP, INC.

CRD#: 31158

AUSTIN, TX

Past

January 9, 1992 - October 15, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 9, 1992 - October 15, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 25, 1987 - January 10, 1990

GOVERNMENT SECURITIES CORPORATION

CRD#: 19698

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/5/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/23/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/18/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/22/1993

General Securities Principal Examination

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

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Firm Stability Insights

Sophia L. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

PACIFIC CORTEZ SECURITIES INCORPORATED

DRAYER GROUP, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GOVERNMENT SECURITIES CORPORATION

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/1994

Series 63

Date: 1/15/1992

SIE

Date: 6/8/2016

Series 7

Date: 1/8/1992

Series 10

Date: 11/23/2004

Series 9

Date: 11/18/2004

Series 24

Date: 1/22/1993

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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