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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

ROBERTA KEATING WELSH

Advisor at LPL FINANCIAL LLC

LAGUNA WOODS, CA

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Search this name across graphsid dfx:ria:03740056-3c06-32d8-d1a8-0b473b4337fe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 23, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Aug 1, 1985
First registration: Jan 23, 1997
Dual registered: yes, broker-dealer
Other names: ROBERTA KEATING LARAIA|ROBERTA ANN KEATING|ROBERTA ANN LARAIA
IAPD individual key: 1331825

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 15, 2016	n/a	yes	LAGUNA WOODS, CA	Current employment
RESEARCH FINANCIAL STRATEGIES	Independent wealth	Jan 16, 2015	Jul 25, 2016	no	LAGUNA WOODS, CA\|ROCKVILLE, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 2, 2008	Jan 27, 2015	no	RICHMOND, VA\|LAGUNA WOODS, CA\|GLEN ALLEN, VA	Previous registration
WELSH & WELSH INC	n/a	Jan 23, 1997	Dec 31, 2007	no	GLEN ALLEN, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RESEARCH FINANCIAL STRATEGIES	LPL FINANCIAL LLC	Jul 25, 2016	Jul 15, 2016	-10	Firm change	Other
LPL FINANCIAL LLC	RESEARCH FINANCIAL STRATEGIES	Jan 27, 2015	Jan 16, 2015	-11	Firm change	Other
WELSH & WELSH INC	LPL FINANCIAL LLC	Dec 31, 2007	Jan 2, 2008	2	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 2, 2008 to Jan 27, 2015factForm ADV
→ RESEARCH FINANCIAL STRATEGIESRegistered adviserregistration: previous registration
Jan 16, 2015 to Jul 25, 2016factForm ADV
→ WELSH & WELSH INCRegistered adviserregistration: previous registration
Jan 23, 1997 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.