Roberta J. Kelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roberta Jean Kelly, CFP®, who also goes by Roberta Hanson, Bobbie Kelly, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1992. Roberta had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Experience
May 7, 2018 - December 31, 2023
LPL FINANCIAL LLC
February 17, 2015 - May 7, 2018
STRATOS WEALTH PARTNERS, LTD
March 24, 2010 - February 26, 2015
LPL FINANCIAL LLC
March 24, 2010 - December 31, 2023
LPL FINANCIAL LLC
March 9, 2006 - March 1, 2010
U.S. BANCORP INVESTMENTS, INC.
March 11, 2002 - March 1, 2010
U.S. BANCORP INVESTMENTS, INC.
April 19, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
April 19, 2001 - March 11, 2002
VALIC FINANCIAL ADVISORS, INC.
September 6, 2000 - April 19, 2001
LPL FINANCIAL LLC
July 20, 1998 - September 1, 2000
INVEST FINANCIAL CORPORATION
March 24, 1998 - July 17, 1998
SUNAMERICA SECURITIES, INC.
October 31, 1997 - March 19, 1998
FFP SECURITIES, INC.
February 1, 1996 - November 6, 1997
BANC ONE SECURITIES CORPORATION
February 26, 1992 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
