RR
Robert M. Rollins
LPL ENTERPRISE
SALISBURY, NC
Some features on this profile are disabled
CRD#: 1764665
RR
Professional summary
Robert Michael Rollins, CFP®, who also goes by Mike Rollins, R. Michael Rollins, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Salisbury, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 15 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Rollins | R. Michael Rollins
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. 1/27/2015 - OTHER-SPORTS OFFICIATING - WRESTLING OFFICIAL - STARTED 11/19/74 - NOT INVESTMENT RELATED - 40 HOURS PER MONTH/0 HOURS DURING TRADING - SALIUSBURY, NC.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Rollins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Rollins'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: 1993
Experience
Current
October 9, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
SALISBURY, NC
Current
October 8, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
SALISBURY, NC
Past
August 15, 2013 - October 8, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
August 15, 2013 - October 8, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 21, 2011 - August 7, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
GREENSBORO, NC
Past
April 25, 2011 - August 7, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GREENSBORO, NC
Past
October 4, 2010 - April 26, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DULUTH, GA
Past
September 23, 2010 - April 26, 2011
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
June 11, 2008 - October 8, 2008
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
OKLAHOMA CITY, OK
Past
October 2, 2007 - October 3, 2008
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
OKLAHOMA CITY, OK
Past
August 16, 2005 - August 1, 2006
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
SALISBURY, NC
Past
July 7, 2005 - August 1, 2006
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
June 22, 2004 - July 13, 2004
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
January 29, 2003 - February 11, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 23, 2003 - February 11, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
TERRELL, TX
Past
February 5, 2002 - August 28, 2002
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
July 6, 1999 - February 22, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 15, 1997 - July 2, 1999
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
May 24, 1993 - March 24, 1997
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
April 28, 1989 - April 5, 1993
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
December 24, 1987 - August 29, 1989
VP DISTRIBUTORS LLC
BD
CRD#: 3036
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
Alabama(12/2/2024)
RR
Alaska(12/2/2024)
RR
Arizona(12/6/2024)
RR
Arkansas(12/10/2024)
RR
California(12/2/2024)
RR
Colorado(12/2/2024)
RR
Connecticut(12/2/2024)
RR
Delaware(12/9/2024)
RR
District of Columbia(12/4/2024)
RR
Florida(12/2/2024)
RR
Georgia(12/2/2024)
RR
Hawaii(12/2/2024)
RR
Idaho(12/2/2024)
RR
Illinois(12/2/2024)
RR
Indiana(12/2/2024)
RR
Iowa(12/2/2024)
RR
Kansas(12/2/2024)
RR
Kentucky(12/10/2024)
RR
Louisiana(12/13/2024)
RR
Maine(12/3/2024)
RR
Maryland(12/4/2024)
RR
Massachusetts(11/8/2024)
RR
Michigan(12/2/2024)
RR
Minnesota(12/2/2024)
RR
Mississippi(12/2/2024)
RR
Missouri(12/2/2024)
RR
Montana(12/4/2024)
RR
Nebraska(12/3/2024)
RR
Nevada(12/2/2024)
RR
New Hampshire(12/2/2024)
RR
New Jersey(12/2/2024)
RR
New Mexico(12/1/2024)
RR
New York(12/3/2024)
IAR
North Carolina(10/9/2024)
RR
North Carolina(10/10/2024)
RR
North Dakota(12/2/2024)
RR
Ohio(11/29/2024)
RR
Oklahoma(12/2/2024)
RR
Oregon(12/2/2024)
RR
Pennsylvania(12/2/2024)
RR
Puerto Rico(6/18/2025)
RR
Rhode Island(11/29/2024)
RR
South Carolina(10/15/2024)
IAR
South Carolina(10/15/2024)
RR
South Dakota(12/2/2024)
RR
Tennessee(11/27/2024)
RR
Texas(11/28/2024)
IAR
Texas(11/28/2024)
RR
Utah(12/4/2024)
RR
Vermont(12/2/2024)
RR
Virgin Islands(6/16/2025)
RR
Virginia(12/2/2024)
RR
Washington(11/27/2024)
RR
West Virginia(12/5/2024)
RR
Wisconsin(12/5/2024)
RR
Wyoming(11/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
