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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KEVIN DAVID GARGANO

Advisor at LPL FINANCIAL LLC

HAMDEN, CT

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Search this name across graphsid dfx:ria:e551ce77-678c-206b-a31c-94b6d7274cd1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2002 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 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 8, 2002
First registration: Apr 2, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4480019

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 10, 2021	n/a	yes	HAMDEN, CT	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Aug 9, 2017	Dec 21, 2020	no	NORTH HAVEN, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 21, 2003	Jul 22, 2003	no	GUILFORD, CT	Previous registration
WADDELL & REED	Former SEC adviser	Apr 2, 2002	Nov 25, 2002	no	NORTH HAVEN, CT	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Dec 21, 2020	Dec 10, 2021	354	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 22, 2003	Aug 9, 2017	5,132	Firm change after gap	Other
WADDELL & REED	MSI FINANCIAL SERVICES, INC.	Nov 25, 2002	Jan 21, 2003	57	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 10, 2021 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Aug 9, 2017 to Dec 21, 2020factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 21, 2003 to Jul 22, 2003factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 2, 2002 to Nov 25, 2002factForm ADV

Dated events

No dated event names this entity yet.