Jon-michael Gugliotta

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CRD#: 5470560

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jon-michael Gugliotta was a registered financial professional .

Jon-michael is a previously registered financial professional and started their career in finance in 2015. Jon-michael had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 22, 2019 - June 25, 2020

THE MAIN STREET GROUP

RIA

CRD#: 175502

Lynchburg, VA

Past

January 4, 2019 - February 22, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

glen allen, VA

Past

December 19, 2018 - June 29, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

GLEN ALLEN, VA

Past

February 2, 2017 - December 7, 2018

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Fort Meyers, FL

Past

January 25, 2017 - December 7, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

FORT MYERS, FL

Past

December 9, 2015 - August 9, 2016

MORGAN STANLEY

RIA

CRD#: 149777

NAPLES, FL

Past

November 12, 2015 - August 9, 2016

MORGAN STANLEY

CRD#: 149777

NAPLES, FL

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".

THE MAIN STREET GROUP

THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD

CRD#: 175502 / SEC#: 801-113192

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

Maryland

Registered Investment Advisory firm - (8/10/2018 Terminated)

New York

Registered Investment Advisory firm - (7/17/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (7/18/2018 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2018 Terminated)

Virginia

Registered Investment Advisory firm - (7/17/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/8/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2015

General Securities Representative Examination

Current Firm

THE MAIN STREET GROUP

THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD

CRD#: 175502 / SEC#: 801-113192

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

Maryland

Registered Investment Advisory firm - (8/10/2018 Terminated)

New York

Registered Investment Advisory firm - (7/17/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (7/18/2018 Terminated)

Texas

Registered Investment Advisory firm - (7/17/2018 Terminated)

Virginia

Registered Investment Advisory firm - (7/17/2018 Terminated)

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Contact information

Main Address

4510 Cox Road Suite 102, Glen Allen, VA 23060

Mailing Address

Phone number

(804) 270-4470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM DISCLOSURE BROCHURE (9/2/2025)

Regulatory assets under management

Total Number of Accounts	2,342
AUM (Assets Under Management)	$ 470,325,672

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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Advisor Monitoring

Firm Stability Insights

Jon-michael Gugliotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

THE MAIN STREET GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2015

Current Firm

THE MAIN STREET GROUP

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE MAIN STREET GROUP

TRUST BUT VERIFY

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