Conor J. Clougherty

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CRD#: 6697044

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.

Conor John Clougherty, who also goes by Co Clougherty, was a registered financial professional .

Conor is a previously registered financial professional and started their career in finance in 2016. Conor had worked at 3 firms and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Co Clougherty

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.

1 - ATLANTIC COAST CONFERENCE FOOTBALL OFFICIAL SINCE 02/2015; PART-TIME INDEPENDENT CONTRACTOR; FREQUENCY: EACH AUTUMN, 14-15 GAMES/20-30 SCRIMMAGES AND PRACTICES; MUST TRAVEL DAY PRIOR TO GAME; MINIMAL HOURS DURING TRADING HOURS (TRAVEL TIME). 2 - NORTH STATE BANK; THE BUSINESS IS INVESTMENT RELATED; 4270 THE CIRCLE AT NORTH HILLS ST. RALEIGH, NC 27609; NORTH STATE BANK PROVIDES BANKING SERVICES INCLUDING SAVINGS/CHECKING ACCOUNTS, LOAN OPERATIONS, MORTGAGE LOANS, AND OTHER FINANCIAL SERVICES; VICE PRESIDENT/FINANCIAL ADVISOR; STARTED 08/2019; 40 HOURS A WEEK; 7 HOURS A DAY DEVOTED DURING SECURITY TRADING HOURS; DUTIES CONSIST OF PROVIDING INVESTMENT AND FINANCIAL ADVICE TO BANK CUSTOMERS (FINANCIAL PLANNING, INVESTMENT MANAGEMENT, QUALIFIED RETIREMENT PLAN SERVICES FOR BUSINESSES).

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

June 29, 2020 - June 30, 2025

GUARDIAN WEALTH ADVISORS, LLC

RIA

CRD#: 305412

RALEIGH, NC

Past

January 3, 2019 - July 7, 2020

APTUS CAPITAL ADVISORS, LLC

RIA

CRD#: 167626

RALEIGH, NC

Past

November 29, 2016 - February 15, 2019

GORDON ASSET MANAGEMENT, LLC

RIA

CRD#: 118471

DURHAM, NC

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".

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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 65

Date: 11/29/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2019

Securities Industry Essentials Examination

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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Contact information

Main Address

4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

Mailing Address

Phone number

(919) 874-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,683
AUM (Assets Under Management)	$ 2,051,517,525

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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Conor J. Clougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUARDIAN WEALTH ADVISORS, LLC

APTUS CAPITAL ADVISORS, LLC

GORDON ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

GUARDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2016

SIE

Date: 7/31/2019

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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