Carla L. Roik

LEGACY WEALTH GROUP

LAS VEGAS, NV 89117

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CRD#: 4691854

Professional summary

Carla L Roik, who also goes by Carla Louise Kollars, Carla Louise Roik, is a registered financial advisor currently at LEGACY WEALTH GROUP located in Las Vegas, Nevada and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

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 7 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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

February 23, 2026 - Present

LEGACY WEALTH GROUP

Office #1: 7881 W Charleston Blvd Ste 155, Las Vegas, NV 89117

RIA

CRD#: 340152

LAS VEGAS, NV

Current

February 24, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 7881 W Charleston Blvd Suite 155, Las Vegas, NV 89117

CRD#: 35747

ALBANY, NY

Past

September 5, 2025 - February 24, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAS VEGAS, NV

Past

September 5, 2025 - February 24, 2026

CETERA WEALTH SERVICES, LLC

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.

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

CRD#: 6413

LAS VEGAS, NV

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.

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

Arizona
(3/3/2026)

Florida
(2/27/2026)

Georgia
(2/25/2026)

Hawaii
(3/3/2026)

Nevada
(2/25/2026)

IAR

Nevada
(2/25/2026)

South Dakota
(2/26/2026)

IAR

Texas
(2/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY WEALTH GROUP

LEGACY WEALTH GROUP | LEGACY WEALTH GROUP, LLC | LEGACY WEALTH GROUP LLC

CRD#: 340152 / SEC#:

Texas

Registered Investment Advisory firm - (1/7/2026 Conditional Restricted)

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Contact information

Main Address

7881 W Charleston Blvd Ste 155, Las Vegas, NV 89117

Mailing Address

Phone number

(702) 871-2727

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Carla L. Roik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carla L Roik's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY WEALTH GROUP

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2004

FINRA

Current Firm

LEGACY WEALTH GROUP

Contact information

Documents

Red Flags

Company Information

LEGACY WEALTH GROUP

TRUST BUT VERIFY

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