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 Houston, Texas and FIDELITY BROKERAGE SERVICES LLC located in Houston, Texas. 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
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.
Other Aliases
Heather M Roach, Heather Michelle Roach
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
12 years in the financial services industry
Current & Past Employments
Education
Universidad Carlos III de Madrid
International Business, Master of Business Administration (MBA)
International Business, Master of Business Administration (MBA)
2013
Baylor University
Journalism with a concentration in public relations and a minor in corporate communications, Bachelor of Arts (BA)
Journalism with a concentration in public relations and a minor in corporate communications, Bachelor of Arts (BA)
2008
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Current Firm
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
Contact Information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698Phone Number
(617) 563-7000# of Employees
17,112SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,973,512AUM (Assets Under Management)
$1,370,125,325,211Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(7/2/2018)
(4/23/2020)
(7/2/2018)
(3/31/2025)
(2/20/2019)
(3/31/2025)
(9/26/2018)
(7/2/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2021About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2021About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Heather Roach's CRS (Customer Relationship Summary).
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