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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Roy E Carrera

Advisor at LPL ENTERPRISE, LLC

WAUWATOSA, WI

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Search this name across graphsid dfx:ria:865ee309-0a12-3d0d-1679-41239a879f4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2007 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: Oct 25, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 25, 2005
First registration: Oct 23, 2007
Dual registered: yes, broker-dealer
Other names: ROY ELIEL CARRERA
IAPD individual key: 4912729

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	Nov 14, 2024	n/a	yes	WAUWATOSA, WI	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Sep 19, 2018	Nov 14, 2024	no	WAUWATOSA, WI	Previous registration
BFC PLANNING, INC.	Bd affiliated wealth	Jun 15, 2017	Aug 15, 2018	no	Shorewood, WI\|CEDAR RAPIDS, IA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 11, 2016	May 24, 2017	no	MILWAUKEE, WI	Previous registration
HIGHLAND INVESTMENT ADVISORS LLC	Independent wealth	Jan 2, 2013	Mar 11, 2015	no	PONTE VEDRA, FL	Previous registration
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Oct 23, 2007	Jun 25, 2012	no	MENOMONEE FALLS, WI	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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
BFC PLANNING, INC.	PRUCO SECURITIES, LLC	Aug 15, 2018	Sep 19, 2018	35	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	BFC PLANNING, INC.	May 24, 2017	Jun 15, 2017	22	Firm change	Other
HIGHLAND INVESTMENT ADVISORS LLC	EQUITABLE ADVISORS, LLC	Mar 11, 2015	Mar 11, 2016	366	Firm change	RIA to ibd
ALLSPRING FUNDS MANAGEMENT, LLC	HIGHLAND INVESTMENT ADVISORS LLC	Jun 25, 2012	Jan 2, 2013	191	Firm change	Other

Relationships

Registered with (6)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 19, 2018 to Nov 14, 2024factForm ADV
→ BFC PLANNING, INC.Registered adviserregistration: previous registration
Jun 15, 2017 to Aug 15, 2018factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 11, 2016 to May 24, 2017factForm ADV
→ HIGHLAND INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Jan 2, 2013 to Mar 11, 2015factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 23, 2007 to Jun 25, 2012factForm ADV

Dated events

No dated event names this entity yet.