John T. Gugle

GUGLE WEALTH ADVISORY

INDIAN LAND, SC

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CRD#: 4071396

Professional summary

John Thomas Gugle, CFP®, who also goes by John T. Gugle Jr, is a registered financial advisor currently at GUGLE WEALTH ADVISORY located in Indian Land, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John T. Gugle Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Gugle's 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®

CFP^®

CRD#: 13572

EL SEGUNDO, CA

Past

September 30, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHARLOTTE, NC

Past

September 19, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 23, 1999 - January 8, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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

North Carolina
(1/2/2025)

IAR

South Carolina
(6/26/2024)

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 66

Date: 9/23/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/3/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1999

General Securities Representative Examination

Current Firm

GUGLE WEALTH ADVISORY

GUGLE WEALTH ADVISORY | GUGLE WEALTH ADVISORY LLC

CRD#: 331310 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/2/2025 Approved)

South Carolina

Registered Investment Advisory firm - (6/26/2024 Approved)

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Contact information

Main Address

Indian Land, SC

Mailing Address

Phone number

(704) 807-3958

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 38,524,324

Red Flags

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

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Firm Stability Insights

John T. Gugle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Gugle's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGLE WEALTH ADVISORY

LPL FINANCIAL LLC

ALPHA FINANCIAL ADVISORS, LLC

CARROLL FINANCIAL ASSOCIATES INC

CETERA WEALTH SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2002

SIE

Date: 4/3/2023

Series 7

Date: 9/18/1999

Current Firm

GUGLE WEALTH ADVISORY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GUGLE WEALTH ADVISORY

TRUST BUT VERIFY

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