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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

ROXANE KAY MILLER

Advisor at LPL ENTERPRISE, LLC

FORT MILL, SC | COROLLA, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 19, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 16, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Sep 16, 1998
First registration: Jan 19, 2004
Dual registered: yes, broker-dealer
Other names: ROXIE MILLER|ROXANE HASSAN|ROXANE KAY PARADES|ROXIE HASSAN|ROXANE KAY HASSAN
IAPD individual key: 3105071

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Aug 28, 2024	n/a	yes	FORT MILL, SC\|COROLLA, NC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 20, 2015	Jun 6, 2024	no	BEAVERCREEK, OH\|FORT MILL, SC\|BEAVERCREEK, OH\|FORT MILL, SC\|BEAVERCREEK, OH	Previous registration
LINCOLN INVESTMENT	Independent wealth	Jan 27, 2014	Nov 14, 2014	no	CINCINNATI, OH	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	May 22, 2007	Jan 17, 2014	no	CINCINNATI, OH\|LIMA, OH\|DAYTON, OH\|LIMA, OH\|GREENFIELD, OH\|WEST UNION, OH\|LEESBURG, OH\|RUSSELLVILLE, OH\|HILLSBORO, OH\|GEORGETOWN, OH\|WILMINGTON, OH\|WILMINGTON, OH\|LYNCHBURG, OH\|WAVERLY, OH\|CHILLICOTHE, OH\|PEEBLES, OH	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jan 19, 2004	Aug 11, 2004	no	OCEANSIDE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	LPL ENTERPRISE, LLC	Jun 6, 2024	Aug 28, 2024	83	Firm change	Ibd to new firm
LINCOLN INVESTMENT	LPL FINANCIAL LLC	Nov 14, 2014	Jan 20, 2015	67	Firm change	Other
FIFTH THIRD SECURITIES, INC.	LINCOLN INVESTMENT	Jan 17, 2014	Jan 27, 2014	10	Firm change	Other
U.S. BANCORP ADVISORS, LLC	FIFTH THIRD SECURITIES, INC.	Aug 11, 2004	May 22, 2007	1,014	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Aug 28, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 20, 2015 to Jun 6, 2024factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Jan 27, 2014 to Nov 14, 2014factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
May 22, 2007 to Jan 17, 2014factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 19, 2004 to Aug 11, 2004factForm ADV

Dated events

Occurred
Jun 6, 2024
Advisor changed firm
Roxane Kay Miller left Lpl Financial Llc for Lpl Enterprise, Llc (registered 2024-08-28)
Form ADVobserved 5 days ago