Carol Roxanne Engel
Investment adviser representative at LPL Enterprise, LLC
16 yearsExperience
2 statesRegistered in
$24.9BFirm assets
2 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
16 years in the industry.
- LPL Enterprise, LLCNov 2024 to now
- Pruco Securities, LLC.Mar 2020 to Nov 2024
- Cetera Investment Advisers LLCMar 2017 to Mar 2018
- Cetera Investment Services LLCDec 2014 to Mar 2020
- First National Bank of PaFeb 2010 to Mar 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2015
- Series 65 · Uniform Investment Adviser Law2017
State registrations
Registered as an investment adviser representative in 2 states (MD, PA).
LPL Enterprise, LLC
$24.9BAssets managed
102,563Clients
3,116Advisers
2 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6264977
- Firm CRD
- 8733