CR
Carla L. Roik
CETERA INVESTMENT ADVISERS LLC
LAS VEGAS, NV 89117
Some features on this profile are disabled
CRD#: 4691854
CR
Professional summary
Carla L Roik, who also goes by Carla Louise Kollars, Carla Louise Roik, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA WEALTH SERVICES, LLC located in Las Vegas, Nevada.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Carla has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carla Louise Kollars | Carla Louise Roik
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) LEGACY WEALTH GROUP, LLC POSITION: Partner NATURE: This is a company was formed to use for our Avantax wealth management business. INVESTMENT RELATED: No NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 90 START DATE: 01/20/2022 ADDRESS: 7881 W Charleston Blvd Suite 155, Las Vegas NV 89117, United States DESCRIPTION: Meeting with clients, providing investment advise and financial plans. 2) ELLSWORTH & STOUT CPAS POSITION: Enrolled Agent NATURE: Accounting firm that offers tax preparation, bookkeeping, and audit services. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/01/2020 ADDRESS: 7881 W Charleston Blvd Ste 155, Las Vegas NV 89117, United States DESCRIPTION: Accounting/bookkeeping/cpa/tax services. 3) RCM LIVING TRUST POSITION: Co-Trustee NATURE: Family Trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2015 ADDRESS: 10137 Dove Row Ave, Las Vegas NV 89166, United States DESCRIPTION: Co-Trustee. 4) ASPEN GLEN HOA BOARD MEMBER POSITION: Board Member NATURE: Homeowner assn board member. Minimum duties for 12 lots in vacation village Duck Creek UT. Will be added to the bank account with 2 other board members. Assets approx $12,000. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: 1250 Paul Fullmer Dr, Duck Creek UT 84762, United States DESCRIPTION: Semi annual meeting regarding rules and update the bylaws, architectural review committee to review if people add a shed or new home on their property. Annual meeting with home owners.
CRS (Client Relationship Summary) - RIA
Click below to view Carla L Roik'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7040 Laredo Street Suite B, Las Vegas, NV 89117RIA
CRD#: 105644
LAS VEGAS, NV
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7881 W Charleston Blvd Suite 155, Las Vegas, NV 89117BD
CRD#: 13572
LAS VEGAS, NV
Past
January 20, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Las Vegas, NV
Past
November 29, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAS VEGAS, NV
Past
April 5, 2004 - October 20, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAS VEGAS, NV
Past
February 16, 2004 - October 20, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
LAS VEGAS, NV
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Alaska(9/23/2025)
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/19/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/9/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Nevada(9/5/2025)
IAR
Nevada(9/5/2025)
RR
New Hampshire(9/19/2025)
RR
New York(9/21/2025)
RR
Ohio(9/19/2025)
RR
Oklahoma(9/24/2025)
RR
Oregon(9/5/2025)
RR
South Dakota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Wyoming(9/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
