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Kathy Roche

Sterling Capital Distributors, LLC

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About Kathy Roche

Kathy Roche is a financial professional with Sterling Capital Distributors, LLC. Kathy holds the Series 7TO and SIE licenses. Kathy has been in the industry since August 2022. Kathy is registered with FINRA.

Firm Information

Kathy Roche is currently registered with Sterling Capital Distributors, LLC. Sterling Capital Distributors, LLC is a Limited Liability Company formed in January 2012. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

10

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kathy Roche’s Registration & Firm History

NC

08/29/2022 - Present

Sterling Capital Distributors, LLC (RALEIGH NC)

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Licenses & Designations

BC

Issued 08/27/2022

Series 7TO - General Securities Representative Examination

BC

Issued 09/13/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathy Roche.
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