ER
Elizabeth M. Roche
KESTRA ADVISORY SERVICES
Louisville, KY
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CRD#: 6728966
ER
Professional summary
Elizabeth Marie Roche, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Louisville, Kentucky and KESTRA INVESTMENT SERVICES, LLC located in Louisville, Kentucky.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Elizabeth has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: Notary Public-State at Large Investment Related: No Address: 4636 Southcrest Dr Louisville KY 40215 Nature of Business: Other Other/None of the Above No revenue is generated. Use in normal course of business Position, Title or Relationship: Notary Start Date: 2/12/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: NotaryBusiness Name: Meritrust Wealth Management Investment Related: No Address: 462 s 4th st, ste 2600 louisville KY 40202 Nature of Business: Registered Field Assistant; Insurance Position, Title or Relationship: Assistant assisting Start Date: 11/16/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: assistingBusiness Name: Kestra Advisory Services Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Associate Advisor/Para Planner Start Date: 11/16/2018 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Assist in financial planning & advising services
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Marie 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®
CFP®
Start date: 2022
Experience
Current
December 17, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 10200 Forest Green Blvd. Suite 407, Louisville, KY 40223RIA
CRD#: 283330
Louisville, KY
Current
November 16, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 10200 Forest Green Blvd. Suite 100, Louisville, KY 40223BD
CRD#: 42046
Louisville, KY
Past
September 18, 2018 - November 26, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
LOUISVILLE, KY
Past
January 6, 2017 - August 3, 2017
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
LOUISVILLE, KY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Alaska(10/7/2024)
RR
Delaware(7/21/2022)
RR
District of Columbia(7/21/2022)
RR
Florida(10/7/2024)
RR
Illinois(7/21/2022)
RR
Indiana(7/21/2022)
RR
Kansas(10/7/2024)
RR
Kentucky(11/16/2018)
IAR
Kentucky(12/17/2018)
RR
Massachusetts(1/7/2025)
RR
Missouri(2/26/2025)
RR
Montana(4/27/2023)
RR
New Mexico(10/10/2022)
RR
North Carolina(7/22/2022)
RR
Ohio(8/17/2022)
RR
Pennsylvania(10/7/2024)
RR
Tennessee(10/7/2024)
RR
Virginia(9/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
