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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

RICHARD BRIAN WELSH

Advisor at LPL FINANCIAL LLC

MARRIOTTSVILLE, MD

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Search this name across graphsid dfx:ria:7e5cb2f7-581c-65c6-3b9c-360b15c29a29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2002 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: Dec 3, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 3, 1990
First registration: Jan 11, 2002
Dual registered: yes, broker-dealer
Other names: RICK WELSH
IAPD individual key: 2070380

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	May 31, 2012	n/a	yes	MARRIOTTSVILLE, MD	Current employment
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Dec 13, 2011	Aug 29, 2012	no	WOODBINE, MD\|MORRISTOWN, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 17, 2007	Dec 19, 2011	no	BALTIMORE, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Aug 22, 2007	no	BALTIMORE, MD\|NEW YORK, NY\|BALTIMORE, MD	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jan 11, 2002	Feb 21, 2006	no	BALTIMORE, MD	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
PRIVATE ADVISOR GROUP, LLC	LPL FINANCIAL LLC	Aug 29, 2012	May 31, 2012	-90	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	PRIVATE ADVISOR GROUP, LLC	Dec 19, 2011	Dec 13, 2011	-6	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Aug 22, 2007	Aug 17, 2007	-5	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 31, 2012 to presentfactForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Dec 13, 2011 to Aug 29, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 17, 2007 to Dec 19, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Aug 22, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jan 11, 2002 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.