John R. Guagliardo

APTUS CAPITAL ADVISORS

FAIRHOPE, AL 36532

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CRD#: 2336002

Professional summary

John Robert Guagliardo, who also goes by John Guagliardo, is a registered financial advisor currently at APTUS CAPITAL ADVISORS, LLC located in Fairhope, Alabama.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Guagliardo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

AS OF 1/1/2011, CO-OWNER, 549 PORPNT LLC(RENTAL PROPERTY), LOCATED AT 549 PORPOISE POINT ROAD, COROLLA, NC 27927. DUTIES INCLUDE COLLECTING RENTAL INCOME - ALL DAY TO DAY RESPONSIBILITIES ARE HANDLED BY TWIDDY MANAGEMENT COMPANY. THIS IS NOT INVESTMENT RELATED. WILL DEVOTE ONE HOUR PER MONTH TOWARD THIS ACTIVITY - NONE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Guagliardo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 3, 2025 - Present

APTUS CAPITAL ADVISORS, LLC

Office #1: 314 Magnolia Avenue Suite 200, Fairhope, AL 36532

RIA

CRD#: 167626

FAIRHOPE, AL

Past

April 25, 2017 - June 26, 2025

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

February 28, 2017 - April 5, 2017

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

Grand Haven, MI

Past

February 28, 2017 - April 5, 2017

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

October 5, 2015 - February 10, 2017

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

Naperville, IL

Past

October 1, 2015 - February 10, 2017

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

June 12, 2007 - October 12, 2015

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

May 1, 2007 - October 12, 2015

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

December 19, 2005 - April 13, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - April 13, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

May 16, 2002 - December 16, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

April 8, 2002 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 4, 1998 - March 26, 2002

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APTUS CAPITAL ADVISORS, LLC

APTUS CAPITAL ADVISORS, LLC | WILLIAMS FINANCIAL GROUP, LLC | GUARDIAN WEALTH PARTNERS, LLC | BLUE LINE INVESTING, LLC

CRD#: 167626 / SEC#: 801-107723

RIA

Registered Investment Advisory firm - (5/16/2016 Approved)

North Carolina

Registered Investment Advisory firm - (10/23/2015 Terminated)

Ohio

Registered Investment Advisory firm - (6/3/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(10/3/2025)

IAR

Illinois
(10/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/7/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1998

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 3/16/1993

National Commodity Futures Examination

Current Firm

APTUS CAPITAL ADVISORS, LLC

APTUS CAPITAL ADVISORS, LLC | WILLIAMS FINANCIAL GROUP, LLC | GUARDIAN WEALTH PARTNERS, LLC | BLUE LINE INVESTING, LLC

CRD#: 167626 / SEC#: 801-107723

RIA

Registered Investment Advisory firm - (5/16/2016 Approved)

North Carolina

Registered Investment Advisory firm - (10/23/2015 Terminated)

Ohio

Registered Investment Advisory firm - (6/3/2016 Terminated)

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Contact information

Main Address

314 Magnolia Avenue Suite 200, Fairhope, AL 36532

Mailing Address

Phone number

(251) 517-7198

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APTUS - ADV PART 2A - 09.30.2025 (9/30/2025)

Regulatory assets under management

Total Number of Accounts	9,347
AUM (Assets Under Management)	$ 9,856,216,354

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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John R. Guagliardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Guagliardo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCORR DISTRIBUTORS, LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

APTUS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2025

Series 66

Date: 6/7/2007

Series 63

Date: 8/6/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/27/2000

Series 6

Date: 2/3/1998

Series 3

Date: 3/16/1993

Current Firm

APTUS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APTUS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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