Carla L Roik

Employer firm

Legacy Wealth Group CRD 340152

$67.4M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting

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

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

Current Employers

Employment History

• 07/2003 → 09/2020
  Lpl Financial Llc
  Las Vegas, NV
• 12/2020 → Present
  Ellsworth & Stout Cpas
  Las Vegas, NV
• 11/2021 → 02/2026
  Avantax And Cetera Wealth Services
  Las Vegas, NV
• 02/2026 → Present
  Legacy Wealth Group, Llc
  Las Vegas, NV
• 02/2026 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2025-09-05 → 2026-02-24
  Cetera Investment Advisers Llc
  Las Vegas, NV
• 2022-01-20 → 2025-09-05
  Avantax Advisory Services
  Las Vegas, NV
• 2004-04-05 → 2020-10-20
  Lpl Financial Llc
  Las Vegas, NV
  Las Vegas, NV

Other Businesses

1) Legacy Wealth Group. Investment-related. At registered location. RIA. Financial Advisor. Start date: 02/2026. 160 hrs/month; all during trading hours. Provide advice to clients. 2) Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start date: 02/2026. 10 hrs/month all during trading hours. Sales of fixed / traditional insurance products. 3) Alpine Meadows Homeowners Association. Not investment related. 1250 E Paul Fullmer Dr, Duck Creek Village, Utah, 84762. Board Member. 09/2024. 0 hrs per month. Board Member of the Homeowners Association for my vacation rental. One street with 14 houses. 4) Ellsworth & Stout. No investment related. 7881 W Charleston Blvd Ste 155, Las Vegas, NV, 89117. Enrolled Agent. Start Date: 12/1/2021. 2 hrs per month. None during securities trading hours. As an enrolled agent I have the ability to complete tax returns help clients with tax matters.

Exams

• S66 Uniform Combined State Law Examination
  2004-04-01

Other Names

• Carla Louise Kollars
• Carla Louise Roik