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Carol Roxanne Engel

LPl Enterprise, LLC

White Hall, MD

CRD 6264977

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-11-14
PA RA APPROVED 2024-11-14
  • MD RA
    APPROVED
    Since 2024-11-14
  • PA RA
    APPROVED
    Since 2024-11-14

Branch Locations

White Hall, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First National Bank Of Pa Baltimore MD 02/2010 03/2020
Cetera Investment Services Llc St. Cloud MN 12/2014 03/2020
Cetera Investment Advisers Llc Lutherville MD 03/2017 03/2018
Pruco Securities, Llc. Hunt Valley MD 03/2020 11/2024
Lpl Enterprise, Llc Hunt Valley MD 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-03-24
S63 Uniform Securities Agent State Law Examination 2015-07-31
  • S65 Uniform Investment Adviser Law Examination
    2017-03-24
  • S63 Uniform Securities Agent State Law Examination
    2015-07-31
Other Names
  • Carol Roxanne Jorgenson
  • Carol Roxanne Jorgenson
  • Carol Roxanne Testerman
  • Carol Roxanne Engel
  • Carol Engel

View on SEC IAPD

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