Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Carrera is a financial advisor at Pruco Securities, LLC, with over 17 years of experience in the industry. Roy holds Series 63 and 65 securities licenses, as well as Series 7 and SIE licenses. Roy is registered with the Securities and Exchange Commission (SEC) and holds licenses in Arizona, Colorado, Florida, Illinois, Minnesota, Oregon, Texas, and Wisconsin. Roy is also a Board Member of the Milwaukee Region Sports Car Club of America.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Compensation from lpl enterprise, llc
1
2
WI
09/19/2018 - Present
Pruco Securities, LLC (WAUWATOSA WI)
WI
06/15/2017 - 08/15/2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (Shorewood WI)
WI
02/17/2016 - 05/24/2017
AXA ADVISORS, LLC (MILWAUKEE WI)
WI
10/23/2007 - 06/25/2012
WELLS FARGO FUNDS DISTRIBUTOR, LLC (MENOMONEE FALLS WI)
WI
05/27/2005 - 10/25/2007
M&I BROKERAGE SERVICES, INC. (MILWAUKEE WI)
BC
Issued 03/07/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/25/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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