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RIA / WealthAdvisordual registered (broker-dealer)48 years in industry

Dennis Michael Magaldi

Advisor at LPL FINANCIAL LLC

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:5ff7f7fb-1ff1-8732-e521-e04a08bb7e6b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 1, 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: Sep 1, 1978earliest registration or exam on IAPD
Years in industry: 48derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 7, 1995
First registration: Nov 1, 2004
Dual registered: yes, broker-dealer
Other names: Dennis Magaldi
IAPD individual key: 2579605

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	Jun 5, 2025	n/a	yes	THOUSAND OAKS, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Aug 21, 2017	Jun 5, 2025	no	Irvine, CA\|Thousand Oaks, CA	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Jul 25, 2007	Aug 21, 2017	no	THOUSAND OAKS, CA\|IRVINE, CA\|WESTLAKE VILLAGE, CA\|THOUSAND OAKS, CA\|THOUSAND OAKS, CA\|WESTLAKE VILLAGE, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jul 17, 2007	no	THOUSAND OAKS, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 1, 2004	Apr 2, 2007	no	THOUSAND OAKS, CA\|THOUSAND OAK, CA	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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
FINANCIAL WEST GROUP	WESTERN INTERNATIONAL SECURITIES	Aug 21, 2017	Aug 21, 2017	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	FINANCIAL WEST GROUP	Jul 17, 2007	Jul 25, 2007	8	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Aug 21, 2017 to Jun 5, 2025factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Jul 25, 2007 to Aug 21, 2017factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jul 17, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 1, 2004 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.