Margaret Mary Gugliotta

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-30
VA	RA	APPROVED	2011-08-08

TX RA
APPROVED_RES

Since 2019-08-30
VA RA
APPROVED

Since 2011-08-08

Branch Locations

Lynchburg, VA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Lynchburg	VA	08/2011	Present

08/2011 → Present

Lpl Financial Llc

Lynchburg, VA

Previous Registrations

2009-05-26 → 2009-11-03

Natcity Investments, Inc.

West Palm Beach, FL
2006-04-28 → 2008-09-04

Banc Of America Investment Services, Inc.

Ft. Myers, FL
2004-02-02 → 2006-04-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naples, FL

Naples, FL

Other Businesses

1. 11/6/2017 - No Business Name - Investment Related - 1019 Main Street, Unit C, Lynchburg VA 24504 - Notary - Start Date 11/01/2017 - 1 Hour Per Month During Securities Trading - Notary Public. 2. 2/13/2018 - Poplar Forest Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2016 - 240 Hours Per Month/6 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-01-23

S66 Uniform Combined State Law Examination

2004-01-23

Other Names

Margaret Mary Slaton
Margaret Mary Carlson
Margaret Mary Slaton
Margaret Mary Slaton

View on SEC IAPD