RM
Roxane K. Miller
LPL ENTERPRISE
COROLLA, NC
Some features on this profile are disabled
CRD#: 3105071
RM
Professional summary
Roxane Kay Miller, who also goes by Roxane Kay Hassan, Roxane Hassan, Roxie Hassan, Roxie Miller, Roxane Kay Parades, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Corolla, North Carolina.
Roxane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Roxane has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roxane Kay Hassan | Roxane Hassan | Roxie Hassan | Roxie Miller | Roxane Kay Parades
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) 04/29/2025-Roxane Miller-Cleaner-Outside/W-2 Employment-Not inv related-At Corolla, NC- Start date 06/01/2025-12hrs/mth-0hrs/mth during trading 2) 04/29/2025-The North End Company LLC-Pool cleaner-Outside/W-2 Employment-Not inv related-At Corolla, NC-Start date 05/19/2025-30hrs/mth-3hrs/mth during trading 3) 10/15/2025-Sapphire Court Reporting-Scoping-Outside/W-2 Employment-Not inv related-At Corolla, NC-Start date 10/20/2025-40hrs/mth-5hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Roxane Kay Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roxane Kay Miller'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®
NoneExperience
Current
August 28, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
COROLLA, NC
Current
June 5, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
Fort Mill, SC
Current
June 26, 2025 - Present
LPL FINANCIAL LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 6413
Fort Mill, SC
Past
January 20, 2015 - June 6, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
BEAVERCREEK, OH
Past
January 20, 2015 - June 6, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
BEAVERCREEK, OH
Past
January 27, 2014 - November 14, 2014
LINCOLN INVESTMENT
RIA
CRD#: 519
CINCINNATI, OH
Past
January 24, 2014 - November 14, 2014
LINCOLN INVESTMENT
BD
CRD#: 519
CINCINNATI, OH
Past
May 22, 2007 - January 17, 2014
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CHILLICOTHE, OH
Past
May 9, 2005 - January 17, 2014
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CHILLICOTHE, OH
Past
January 19, 2004 - August 11, 2004
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
OCEANSIDE, CA
Past
September 22, 2003 - August 11, 2004
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
GLENDALE, CA
Past
September 15, 1998 - December 8, 1999
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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
North Carolina(7/9/2024)
IAR
North Carolina(8/29/2024)
RR
Ohio(6/6/2024)
IAR
Ohio(8/28/2024)
RR
South Carolina(7/3/2024)
IAR
South Carolina(8/30/2024)
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
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.
