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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

WILLIAM SHANNON GARDNER

Advisor at LPL FINANCIAL LLC

SPRING HILL, FL

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Search this name across graphsid dfx:ria:33ff9dec-f377-a578-c4f0-4a1bcd8c8dc5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2004 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 19, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 19, 1998
First registration: Jan 22, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 3020106

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	Dec 14, 2024	n/a	yes	SPRING HILL, FL	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	Dec 17, 2024	no	Spring Hill, FL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 6, 2020	Jun 14, 2024	no	SPRING HILL, FL	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Sep 4, 2015	Nov 6, 2020	no	SEATTLE, WA\|Spring Hill, FL\|SEATTLE, WA	Previous registration
SIGNATOR FINANCIAL SERVICES, INC.	Former SEC adviser	Feb 27, 2006	Sep 1, 2015	no	SEMINOLE, FL\|SPRING HILL, FL\|SPRING HILL, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jan 22, 2004	Mar 2, 2006	no	SPRING HILL, FL	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Dec 17, 2024	Dec 14, 2024	-3	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
KMS FINANCIAL SERVICES, INC	SECURITIES AMERICA ADVISORS, INC.	Nov 6, 2020	Nov 6, 2020	0	Bulk transfer	Ibd to ibd
SIGNATOR FINANCIAL SERVICES, INC.	KMS FINANCIAL SERVICES, INC	Sep 1, 2015	Sep 4, 2015	3	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	SIGNATOR FINANCIAL SERVICES, INC.	Mar 2, 2006	Feb 27, 2006	-3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19061:3866:FL:2015-09-01	Sep 1, 2015	Sep 4, 2015	SPRING HILL, FL	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 14, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 14, 2024 to Dec 17, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Jun 14, 2024factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Sep 4, 2015 to Nov 6, 2020factForm ADV
→ SIGNATOR FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 27, 2006 to Sep 1, 2015factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 22, 2004 to Mar 2, 2006factForm ADV

Dated events

Occurred
Dec 17, 2024
Advisor changed firm
William Shannon Gardner left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2024-12-14)
Form ADVobserved 6 days ago