Nancy L. Roach-wilder
LPL ENTERPRISE
DOWNERS GROVE, IL 60515
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CRD#: 1309581
Professional summary
Nancy Louise Roach-wilder, CFP®, who also goes by Nancy Louise Roach, Nancy S Roach, Nancy Louise Silas, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Downers Grove, Illinois.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Nancy has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Louise Roach | Nancy S Roach | Nancy Louise Silas
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 02/19/2025 - Prudential and Crump Fixed Life - Non-Variable Insurance - Non-Proprietary Fixed LIfe Crump Agency Fixed Life and Disability - INV Related - At Downers Grove, IL - Start Date 11/18/2024 - 10hrs/mth - 10hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Louise Roach-wilder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Louise Roach-wilder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2013
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Past
May 18, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
April 26, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
July 1, 2013 - April 24, 2017
SPC
RIA
CRD#: 110692
LISLE, IL
Past
July 1, 2013 - April 24, 2017
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
LISLE, IL
Past
October 5, 2009 - July 18, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ST CHARLES, IL
Past
October 5, 2009 - July 18, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ST CHARLES, IL
Past
May 7, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
ST. CHARLES, IL
Past
May 2, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
ST. CHARLES, IL
Past
May 29, 2007 - May 22, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
STREAMWOOD, IL
Past
May 29, 2007 - May 22, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
STREAMWOOD, IL
Past
June 25, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
STREAMWOOD, IL
Past
January 10, 2001 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
STREAMWOOD, IL
Past
October 27, 1999 - January 19, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
June 19, 1997 - November 2, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 18, 1987 - February 9, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 21, 1984 - December 12, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Florida(11/18/2024)
IAR
Florida(11/18/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
RR
Maryland(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(12/18/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
