Cade Roque
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Cade Roque is an investment adviser representative in Mesa, AZ, currently registered with Cornerstone Wealth Management, LLC and LPL Financial LLC. They have worked in the securities industry since 2023 and were previously registered with Mutual of Omaha Investor Services, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Arizona.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Arizona
- Broker:
3 states and territories
Arizona, New York, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- gold canyon remodelingAug 2019 – Sep 2020Apache Junction, AZ
- Az Oasis PoolsSep 2020 – Sep 2021Chandler, AZ
- UnemployedSep 2021 – Jun 2022Mesa, AZ
- Mutual of Omaha Insurance CompanySep 2022 – Jul 2024Phoenix, AZ
- Mutual of Omaha Investor ServicesJul 2023 – Jul 2024Phoenix, AZ
- TillysJul 2018 – Aug 2019Gilbert, AZ
- UnemployedJan 2012 – Jul 2018Queen Creek, AZ
- LPL Financial LLCJul 2024 – no end date reportedMesa, AZ
- Cornerstone Wealth Management, LLCJul 2024 – no end date reportedSt. Peters, MO
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
Showing 12 of 24,114 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cade Roque has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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