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Patricia Gugliotti

LPL Financial LLC
43 Years of Experience
Waterbury, CT
BrokerSells Insurance
View SEC Summary
View SEC Summary

Patricia Gugliotti is a CFP-designated registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 43 years of industry experience. Patricia is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

91 Schraffts Dr, Waterbury, CT, 06705

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Patricia operates under the DBA Tax & Investment Strategies for her LPL business, dedicating nearly full-time hours to investment-related activities. She also works as a non-variable insurance agent and provides tax preparation/accounting services, spending a few hours per week and about a third of her time, respectively.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Grove Point Advisors, LLC
April 2021 - May 2025 · 4 yrs 1 mo
Grove Point Investments, LLCBroker
June 2017 - May 2025 · 7 yrs 11 mos
H. Beck, INC.
June 2017 - April 2021 · 3 yrs 10 mos
The Strategic Financial Alliance
February 2007 - June 2017 · 10 yrs 4 mos
The Strategic Financial Alliance, INC.Broker
February 2007 - June 2017 · 10 yrs 4 mos
Fsc Securities Corporation
January 2007 - February 2007 · 1 mo
Fsc Securities CorporationBroker
July 1996 - February 2007 · 10 yrs 7 mos
Nathan & Lewis Securities, INC.Broker
November 1987 - July 1996 · 8 yrs 8 mos
Waddell & Reed, INC.Broker
July 1985 - October 1987 · 2 yrs 3 mos
John Hancock Mutual Life Insurance CompanyBroker
June 1981 - November 1983 · 2 yrs 5 mos
John Hancock Distributors, INC.Broker
June 1981 - November 1983 · 2 yrs 5 mos
State Registrations6 states
CTFLMANCNYSC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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