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

ROY E COOK

Advisor at LPL FINANCIAL LLC

WARRENVILLE, IL

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Search this name across graphsid dfx:ria:de61047b-3ebe-b880-71e7-77ca432477dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 18, 2006 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 FINANCIAL 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 17, 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: 8
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Sep 17, 1998
First registration: Jan 18, 2006
Dual registered: yes, broker-dealer
Other names: ROY COOK|ROY E COOK
IAPD individual key: 3129380

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 FINANCIAL LLC	Bd affiliated wealth	Sep 29, 2023	n/a	yes	WARRENVILLE, IL	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 20, 2018	Sep 29, 2023	no	PARK RIDGE, IL\|WARRENVILLE, IL\|WHEATON, IL	Previous registration
SAGE PRIVATE WEALTH GROUP, LLC	Independent wealth	Apr 10, 2015	May 14, 2018	no	WHEATON, IL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 3, 2015	May 18, 2018	no	OAKBROOK, IL	Previous registration
FORVIS MAZARS WEALTH ADVISORS, LLC	Independent wealth	Nov 5, 2014	Apr 20, 2015	no	OAKBROOK TERRACE, IL	Previous registration
WOLF FINANCIAL MANAGEMENT, LLC	Former SEC adviser	Jul 20, 2010	Dec 31, 2014	no	OAKBROOK TERRACE, IL\|OAKBROOK TERRACE, IL	Previous registration
WOLF FINANCIAL MANAGEMENT, LLC	Former SEC adviser	Jul 10, 2010	Apr 20, 2015	no	OAKBROOK TERRACE, IL	Previous registration
OAK BROOK STRATEGIC INVESTMENT ADVISORS LLC	n/a	Sep 21, 2009	Dec 23, 2010	no	ELMHURST, IL	Previous registration
BAKER TILLY INVESTMENT ADVISORS	Former SEC adviser	Jan 18, 2006	Sep 24, 2009	no	MADISON, 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
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Sep 29, 2023	Sep 29, 2023	0	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SAGE PRIVATE WEALTH GROUP, LLC	May 18, 2018	Apr 10, 2015	-1,134	Firm change after gap	Ibd to RIA
SAGE PRIVATE WEALTH GROUP, LLC	CETERA INVESTMENT ADVISERS LLC	May 14, 2018	May 20, 2018	6	Firm change	RIA to ibd
FORVIS MAZARS WEALTH ADVISORS, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 20, 2015	Apr 3, 2015	-17	Firm change	Other
WOLF FINANCIAL MANAGEMENT, LLC	FORVIS MAZARS WEALTH ADVISORS, LLC	Dec 31, 2014	Nov 5, 2014	-56	Firm change after gap	Other
OAK BROOK STRATEGIC INVESTMENT ADVISORS LLC	WOLF FINANCIAL MANAGEMENT, LLC	Dec 23, 2010	Jul 10, 2010	-166	Firm change after gap	Other
BAKER TILLY INVESTMENT ADVISORS	OAK BROOK STRATEGIC INVESTMENT ADVISORS LLC	Sep 24, 2009	Sep 21, 2009	-3	Firm change	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 29, 2023 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
May 20, 2018 to Sep 29, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Apr 3, 2015 to May 18, 2018factForm ADV
→ SAGE PRIVATE WEALTH GROUP, LLCRegistered adviserregistration: previous registration
Apr 10, 2015 to May 14, 2018factForm ADV
→ FORVIS MAZARS WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 5, 2014 to Apr 20, 2015factForm ADV
→ WOLF FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 10, 2010 to Apr 20, 2015factForm ADV
→ OAK BROOK STRATEGIC INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Sep 21, 2009 to Dec 23, 2010factForm ADV
→ BAKER TILLY INVESTMENT ADVISORSRegistered adviserregistration: previous registration
Jan 18, 2006 to Sep 24, 2009factForm ADV

Dated events

Occurred
Sep 29, 2023
Advisor changed firm
Roy E Cook left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2023-09-29)
Form ADVobserved 5 days ago