Kelly Roark
Kelly Roark is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Candler, NC, with 26 years of industry experience. Kelly is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.
Fee Estimator
Location
Candler, NC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kelly is a co-owner of Paragon Financial, LLC, established to facilitate securities, advisory, and insurance business, dedicating all of her time during business hours. She also engages in fixed insurance sales, dedicating minimal time.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
LPL Financial LLCBroker
LPL Financial LLC
Secure Trend Financial, LLC
Secure Trend Financial, LLCBroker
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Wall and Company Securities, INC.Broker
Wachovia Securities, INC.Broker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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