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

LORI JANE GALBRAITH

Advisor at LPL FINANCIAL LLC

OSWEGO, IL

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Search this name across graphsid dfx:ria:b66c7af1-ac77-ed94-5f6b-ea8066bdcf01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 14, 2015 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 3, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 3, 2015
First registration: Oct 14, 2015
Dual registered: yes, broker-dealer
Other names: LORI J GALBRAITH
IAPD individual key: 6479259

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	Jul 21, 2021	n/a	yes	OSWEGO, IL	Current employment
WADDELL & REED	Former SEC adviser	Jan 29, 2021	Jul 21, 2021	no	OAK BROOK, IL\|SAVAGE, MN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	May 29, 2019	Feb 2, 2021	no	MOKENA, IL\|TINLEY PARK, IL\|LOCKPORT, IL\|ROMEOVILLE, IL\|SCHAUMBURG, IL\|NEW LENOX, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 3, 2017	Jun 17, 2019	no	NAPERVILLE, IL\|BOLINGBROOK, IL\|FRANKFORT, IL\|SHOREWOOD, IL\|WILMINGTON, IL\|Naperville, IL\|SAN DIEGO, CA\|JOLIET, IL\|CREST HILL, IL\|JOLIET, IL\|JOLIET, IL\|LOCKPORT, IL\|NAPERVILLE, IL	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Mar 1, 2016	Feb 7, 2017	no	Villa Park, IL\|Villa Park, IL\|COLDWATER, MI	Previous registration
WADDELL & REED	Former SEC adviser	Oct 14, 2015	Feb 29, 2016	no	SAVAGE, MN	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
FIFTH THIRD SECURITIES, INC.	WADDELL & REED	Feb 2, 2021	Jan 29, 2021	-4	Firm change	Ibd to ibd
LPL FINANCIAL LLC	FIFTH THIRD SECURITIES, INC.	Jun 17, 2019	May 29, 2019	-19	Firm change	RIA to ibd
OSAIC INSTITUTIONS, INC.	LPL FINANCIAL LLC	Feb 7, 2017	Feb 3, 2017	-4	Firm change	Other
WADDELL & REED	OSAIC INSTITUTIONS, INC.	Feb 29, 2016	Mar 1, 2016	1	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 3, 2017 to Jun 17, 2019factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jan 29, 2021 to Jul 21, 2021factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
May 29, 2019 to Feb 2, 2021factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Mar 1, 2016 to Feb 7, 2017factForm ADV

Dated events

No dated event names this entity yet.