Caroline Dwyer Roch

Custody Operations Specialist

Ms. Caroline Dwyer Roch joined the firm in 2021. As a Custody Operations Specialist, Caroline is primarily responsible for directing incoming securities transfers for new accounts, mutual fund trading, settlement, and reconciliation, and processing all transactions for certificates of deposit.

Contact

FINRA’s Brokercheck

Send an email

Certifications & Education

B.A., Lafayette College
FINRA Series 7 and 66

Previous Experience

Change of Ownership/Inheritance Specialist

The Vanguard Group
Client Relationship Associate: Senior Associate

The Vanguard Group
Marketing Intern

YOGASMOGA

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