Mary Beth K. Roche

KOHLHEPP INVESTMENT ADVISORS, LTD.

Chapel Hill, NC

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CRD#: 5229012

Professional summary

Mary Beth K Roche, who also goes by Mary Beth Kohlhepp, Mary Beth Roche, is a registered financial advisor currently at KOHLHEPP INVESTMENT ADVISORS, LTD. located in Chapel Hill, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Chapel Hill, North Carolina.

Mary Beth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Mary Beth has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mary Beth Kohlhepp | Mary Beth Roche

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) KOHLHEPP INVESTMENT ADVISORS LTD, 3655 ROUTE 202 STE 100 DOYLESTOWN PA, 10/2012, IAR, OWNER/DIRECTOR OF OPERATIONS, INV REL, 160 HR/MO 152 HR/MO TRADING 2) BETTER SCREEN TIME, 2179 PROSPECT AVE HOOD RIVER OR, 08/2022, MARKETING, 5 HR/MO 0 HR/MO TRADING 3) MARY BETH ROCHE, 890 OLD FAYETTEVILLE RD CHAPEL HILL NC, 03/2024, PARENT EDUCATOR, VOLUNTEER, NIR, 20 HR/MO 0 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Beth K Roche's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 8, 2018 - Present

KOHLHEPP INVESTMENT ADVISORS, LTD.

RIA

CRD#: 113989

Chapel Hill, NC

Current

October 10, 2012 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 1701 Curtis Rd., Chapel Hill, NC 27514Office #2: 3655 Route 202 Suite 100, Doylestown, PA 18902

CRD#: 39543

Chapel Hill, NC

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".

KOHLHEPP INVESTMENT ADVISORS, LTD.

CRD#: 113989 / SEC#: 801-60581

RIA

Registered Investment Advisory firm - (9/24/2001 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.

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

North Carolina
(9/30/2020)

Pennsylvania
(9/11/2018)

IAR

Pennsylvania
(12/8/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/4/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KOHLHEPP INVESTMENT ADVISORS, LTD.

CRD#: 113989 / SEC#: 801-60581

RIA

Registered Investment Advisory firm - (9/24/2001 Approved)

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Contact information

Main Address

3655 Route 202 Suite 100, Doylestown, PA 18902

Mailing Address

Phone number

(215) 340-5777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KOHLHEPP INVESTMENT ADVISORS, LTD. AMENDED FORM ADV, PART 2A. (3/17/2025)

Regulatory assets under management

Total Number of Accounts	898
AUM (Assets Under Management)	$ 191,033,315

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

Mary Beth K. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Beth K Roche's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

KOHLHEPP INVESTMENT ADVISORS, LTD.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2013

Series 6

Date: 10/9/2012

FINRA

Current Firm

KOHLHEPP INVESTMENT ADVISORS, LTD.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOHLHEPP INVESTMENT ADVISORS, LTD.

TRUST BUT VERIFY

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