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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MARGARET MARY GUGLIOTTA

Advisor at LPL FINANCIAL LLC

LYNCHBURG, VA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2004 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: Jan 23, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 23, 2004
First registration: Feb 2, 2004
Dual registered: yes, broker-dealer
Other names: MARGARET MARY SLATON|MARGARET MARY CARLSON|MARGARET MARY SLATON|MARGARET MARY SLATON
IAPD individual key: 4725327

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	Aug 8, 2011	n/a	yes	LYNCHBURG, VA	Current employment
NATCITY INVESTMENTS, INC.	n/a	May 26, 2009	Nov 3, 2009	no	WEST PALM BEACH, FL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 28, 2006	Sep 4, 2008	no	FT. MYERS, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 2, 2004	Apr 10, 2006	no	NAPLES, FL\|NAPLES, FL	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
NATCITY INVESTMENTS, INC.	LPL FINANCIAL LLC	Nov 3, 2009	Aug 8, 2011	643	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	NATCITY INVESTMENTS, INC.	Sep 4, 2008	May 26, 2009	264	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	Apr 10, 2006	Apr 28, 2006	18	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 8, 2011 to presentfactForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
May 26, 2009 to Nov 3, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 28, 2006 to Sep 4, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 2, 2004 to Apr 10, 2006factForm ADV

Dated events

No dated event names this entity yet.