Guido Mogatti Sarcione
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Guido Mogatti Sarcione is an investment adviser representative in Cranston, RI, currently registered with Integrated Wealth Concepts LLC and LPL Financial LLC. They have worked in the securities industry since 1995 and have been registered with 6 firms, including Baystate Wealth Management and MML Investors Services, LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Rhode Island and Texas.
Registrations & licenses
- Investment adviser:
- Rhode Island, Texas
- Broker:
14 states and territories
Arizona, Connecticut, Florida, Maryland, Massachusetts, New Hampshire, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Vermont, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Metlife Securities Inc.Jan 2015 – Mar 2017East Providence, RI
- MML Investors Services, LLCMar 2017 – Dec 2017East Providence, RI
- LPL Financial, LLCDec 2017 – no end date reportedCranston, RI
- Integrated Wealth Concepts LLCNov 2017 – no end date reportedCranston, RI
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Guido Mogatti Sarcione has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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