Maggie Rose Roche

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1991 → Present
  Roche Financial Inc.
  Williamsport, PA
• 01/2013 → Present
  Cetera Advisors Llc
  El Segundo, CA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

(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 ;

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-03-22
• S63 Uniform Securities Agent State Law Examination
  1996-03-06

Other Names

• Maggie Rose Prowant
• Maggie Rose Dewalt