MR
Maggie R. Roche
CETERA INVESTMENT ADVISERS LLC
WILLIAMSPORT, PA 17701
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CRD#: 2580691
MR
Professional summary
Maggie Rose Roche, AIF®, who also goes by Maggie Rose Dewalt, Maggie Rose Prowant, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsport, Pennsylvania and CETERA ADVISORS LLC located in Williamsport, Pennsylvania.
Maggie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Maggie has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maggie Rose Dewalt | Maggie Rose Prowant
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.
(1) ROCHE FINANCIAL INC, SAME AS OFFICE ADDRESS, START 08/01/91, DBA FOR EMPLOYEE BENEFITS AND FINANCIAL SERVICES, ACCOUNT EXECUTIVE AND SALES, 40HR/WK, COMMISSION ; (2) NAME OF OTHER BUSINESS: SAINT ANN CATHOLIC CHURCH ; INVESTMENT RELATED: NO ; ADDRESS: 1305 NORTHWAY RD, WILLIAMSPORT, PA 17701 ; NATURE OF BUSINESS: CHURCH ; START DATE: 10/2013 ; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER ; APX NUMBER OF HOURS PER WEEK: 1-2 PER MONTH ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 PER MONTH ; BRIEF DESCRIPTION OF DUTIES: REVIEW CHURCH FINANCES, DISCUSSIONS ABOUT PLANNED GIVING AND CHARITABLE GIVING ;
CRS (Client Relationship Summary) - RIA
Click below to view Maggie Rose Roche's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1610 E Third St, Williamsport, PA 17701RIA
CRD#: 105644
WILLIAMSPORT, PA
Current
June 29, 2012 - Present
CETERA ADVISORS LLC
Office #1: 1610 E Third St, Williamsport, PA 17701BD
CRD#: 10299
Williamsport, PA
Past
March 29, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 13, 2001 - July 9, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WILLIAMSPORT, PA
Past
February 10, 1995 - June 22, 2001
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/5/2024)
RR
Delaware(6/29/2012)
RR
Florida(6/29/2012)
RR
Georgia(2/2/2024)
RR
Maryland(4/8/2016)
RR
Massachusetts(7/23/2020)
RR
New York(6/29/2012)
RR
North Carolina(6/29/2012)
RR
Pennsylvania(6/29/2012)
IAR
Pennsylvania(3/21/2024)
RR
South Carolina(6/6/2013)
IAR
South Carolina(4/24/2025)
RR
Virginia(6/29/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Williamsport, PA 17701TRUST BUT VERIFY
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