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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Kenneth Francis Galanis

Advisor at LPL FINANCIAL LLC

VALENCIA, CA | LANCASTER, CA

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Search this name across graphsid dfx:ria:6efe1ed4-fa63-8acc-aef4-7689f5704c2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 12, 2017 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: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 6, 2017
First registration: Sep 12, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 6648553

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	Mar 4, 2024	n/a	yes	LANCASTER, CA\|VALENCIA, CA	Current employment
Wmbc	Former SEC adviser	Mar 18, 2022	Feb 26, 2024	no	IRVINE, CA	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	May 11, 2021	Jan 3, 2022	no	Orange, CA	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	May 3, 2019	May 4, 2021	no	PASADENA, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Sep 12, 2017	Jan 2, 2018	no	LOS ANGELES, 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
Wmbc	LPL FINANCIAL LLC	Feb 26, 2024	Mar 4, 2024	7	Firm change	RIA to ibd
FSC SECURITIES CORPORATION	Wmbc	Jan 3, 2022	Mar 18, 2022	74	Firm change	Ibd to RIA
OSAIC WEALTH, INC.	FSC SECURITIES CORPORATION	May 4, 2021	May 11, 2021	7	Channel change	Ibd to ibd
EQUITABLE ADVISORS, LLC	OSAIC WEALTH, INC.	Jan 2, 2018	May 3, 2019	486	Firm change after gap	Ibd to ibd

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 4, 2024 to presentfactForm ADV
→ WMBCRegistered adviserregistration: previous registration
Mar 18, 2022 to Feb 26, 2024factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 11, 2021 to Jan 3, 2022factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
May 3, 2019 to May 4, 2021factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 12, 2017 to Jan 2, 2018factForm ADV

Dated events

Occurred
Feb 26, 2024
Advisor changed firm
Kenneth Francis Galanis left Wmbc for Lpl Financial Llc (registered 2024-03-04)
Form ADVobserved 4 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Kenneth Francis Galanis left Fsc Securities Corporation for Wmbc (registered 2022-03-18)
Form ADVobserved 4 days ago