Roy E Carrera

Current Employers

Employment History

• 11/2015 → 06/2017
  Axa Advisors, Llc
  New York, NY
• 06/2017 → 08/2018
  Berthel Fisher & Company Financial Services, Inc.
  Shorewood, WI
• 06/2017 → 08/2018
  Bfc Planning, Inc.
  Shorewood, WI
• 08/2018 → 11/2024
  Pruco Securities, Llc.
  Wauwatosa, WI
• 08/2018 → Present
  Prudential Insurance Company Of America
  Wauwatosa, WI
• 11/2024 → Present
  Lpl Enterprise, Llc
  Wauwatosa, WI

Previous Registrations

• 2018-09-19 → 2024-11-14
  Pruco Securities, Llc.
  Wauwatosa, WI
• 2017-06-15 → 2018-08-15
  Bfc Planning, Inc.
  Shorewood, WI
  Cedar Rapids, IA
• 2016-03-11 → 2017-05-24
  Equitable Advisors, Llc
  Milwaukee, WI
• 2013-01-02 → 2015-03-11
  Highland Investment Advisors Llc
  Ponte Vedra, FL
• 2007-10-23 → 2012-06-25
  Allspring Funds Management, Llc
  Menomonee Falls, WI

Other Businesses

1) 11/19/2024 - RECQF LLC - Property is owned by one of my IRAs. It is managed by a property manager. No income will be taken until I retire - Real Estate Rental - Inv Related - At Wauwatosa, WI - Start Date 10/01/2014 - 0hrs/mth - 0hrs/mth During Trading 2) 11/19/2024 - Sports Car Club of America - Milwaukee Region - I am a member of the board of directors - Non-Profit Board Member - Non Inv Related - At Wauwatosa, WI - Start Date 10/01/2014 - 1hrs/mth - 0hrs/mth During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-03-07
• S65 Uniform Investment Adviser Law Examination
  2005-10-25

Other Names

• Roy Eliel Carrera