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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

Patricia Gugliotti

Advisor at LPL FINANCIAL LLC

WATERBURY, CT

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Search this name across graphsid dfx:ria:627b2cbb-64ea-a8dd-bcc9-988e39cefcfe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2007 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 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Mar 21, 1997
First registration: Jan 25, 2007
Dual registered: yes, broker-dealer
Other names: PATRICIA S GUGLIOTTI|PATRICIA SUSAN GUGLIOTTI
IAPD individual key: 732041

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	May 1, 2025	n/a	yes	WATERBURY, CT	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	May 1, 2025	no	ROCKVILLE, MD\|Waterbury, CT\|ROCKVILLE, MD	Previous registration
H. BECK, INC.	Former SEC adviser	Jun 6, 2017	Apr 1, 2021	no	Waterbury, CT\|Rockville, MD\|ROCKVILLE, MD	Previous registration
THE STRATEGIC FINANCIAL ALLIANCE	Bd affiliated wealth	Feb 20, 2007	Jun 9, 2017	no	WATERBURY, CT\|ATLANTA, GA\|WATERBURY, CT	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jan 25, 2007	Feb 23, 2007	no	HUNTINGTON, NY\|WATERBURY, CT\|CORAM, NY	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
GROVE POINT ADVISORS, LLC	LPL FINANCIAL LLC	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
THE STRATEGIC FINANCIAL ALLIANCE	H. BECK, INC.	Jun 9, 2017	Jun 6, 2017	-3	Firm change	Other
FSC SECURITIES CORPORATION	THE STRATEGIC FINANCIAL ALLIANCE	Feb 23, 2007	Feb 20, 2007	-3	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to May 1, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Jun 6, 2017 to Apr 1, 2021factForm ADV
→ THE STRATEGIC FINANCIAL ALLIANCERegistered adviserregistration: previous registration
Feb 20, 2007 to Jun 9, 2017factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 25, 2007 to Feb 23, 2007factForm ADV

Dated events

No dated event names this entity yet.