Patricia Gugliotti
Patricia Gugliotti is a CFP-designated registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
91 Schraffts Dr, Waterbury, CT, 06705
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Regulatory History
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.
Learn about disclosures →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
LPL Financial LLC
Previous Registrations
Grove Point Advisors, LLC
Grove Point Investments, LLCBroker
H. Beck, INC.
The Strategic Financial Alliance
The Strategic Financial Alliance, INC.Broker
Fsc Securities Corporation
Fsc Securities CorporationBroker
Nathan & Lewis Securities, INC.Broker
Waddell & Reed, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
John Hancock Distributors, INC.Broker
State Registrations6 states
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.