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Heather Roach

Heather Roach

STRATEGIC ADVISERS LLC | VP, Branch Leader
ALBUQUERQUE, NM
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CRD#: 6314627
Heather Roach

Professional summary

Heather Roach, who also goes by Heather M Roach, Heather Michelle Roach, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Albuquerque, New Mexico and FIDELITY BROKERAGE SERVICES LLC located in Albuquerque, New Mexico.

Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Heather has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Biography

Responsible for leading Fidelity's local Investor Center, offering financial and investment guidance to our customers including one-on-one retirement planning, wealth management, income strategies, and college planning services, as well as integrated employee benefits strategies.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Heather M Roach | Heather Michelle 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.
OBA-10194|OrgNmn:Salem Properties LLC|Org Addr:Albuquerqu,New Mexico,US|OBA Nature:Owner. LLC holds a rental hou|Invst Rel:Y|Title:Salem Properties, LLC|Duties:Landlord duties|StrtDt:05-01-2018|TotHrs/mon:1|TrdHrs/mon:0|OBA-10193|OrgNmn:The Rock at Noonday|Org Addr:Albuquerqu,New Mexico,US|OBA Nature:On the board of directors for |Invst Rel:N|Title:Member of the Board of Directors |Duties:Attend board of directors meeting every other month, promote and support the organization|StrtDt:04-27-2018|TotHrs/mon:2|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Roach'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

Education

Universidad Carlos III de Madrid

Master of Business Administration (MBA) - International Business

2013

Baylor University

Bachelor of Arts (BA) - Journalism with a concentration in public relations and a minor in corporate communications

2008

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 2100 Louisiana Blvd Ne Building 209, Albuquerque, NM 87110-5413
RIA
CRD#: 104555
ALBUQUERQUE, NM
Current

July 2, 2018 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 2100 Louisiana Blvd Ne Building 209, Albuquerque, NM 87110-5413
BD
CRD#: 7784
ALBUQUERQUE, NM
Past

July 19, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
ALBUQUERQUE, NM
Past

November 5, 2014 - April 23, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ALBUQUERQUE, NM
Past

October 6, 2014 - April 23, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ALBUQUERQUE, NM

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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

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.

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
Arizona
(7/2/2018)
RR
Massachusetts
(4/23/2020)
RR
New Mexico
(7/2/2018)
IAR
New Mexico
(3/31/2025)
RR
Texas
(2/20/2019)
IAR
Texas
(3/31/2025)
RR
Utah
(9/26/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/4/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/30/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/6/2021
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

STRATEGIC ADVISERS LLC

VP, Branch LeaderCRD#: 104555Albuquerque, NM

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