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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JOHN ROBERT GUAGLIARDO

Advisor at APTUS CAPITAL ADVISORS, LLC

FAIRHOPE, AL

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Search this name across graphsid dfx:ria:cf3f0d6d-cb4c-9732-0bc1-a4760c3e6e43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 16, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: APTUS CAPITAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 6, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65|S66
First exam: Aug 6, 1998
First registration: May 16, 2002
Dual registered: yes, broker-dealer
Other names: JOHN GUAGLIARDO
IAPD individual key: 2336002

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
APTUS CAPITAL ADVISORS, LLC	Independent wealth	Oct 3, 2025	n/a	yes	FAIRHOPE, AL	Current employment
FIRST FINANCIAL EQUITY CORPORATION	Former SEC adviser	Feb 28, 2017	Apr 5, 2017	no	Grand Haven, MI\|ADDISON, TX	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Oct 5, 2015	Feb 10, 2017	no	Naperville, IL\|NEW YORK, NY	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Jun 12, 2007	Oct 12, 2015	no	BOSTON, MA	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Dec 19, 2005	Apr 13, 2007	no	NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 16, 2002	Dec 16, 2005	no	STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST FINANCIAL EQUITY CORPORATION	APTUS CAPITAL ADVISORS, LLC	Apr 5, 2017	Oct 3, 2025	3,103	Firm change after gap	Other
NEUBERGER BERMAN BD LLC	FIRST FINANCIAL EQUITY CORPORATION	Feb 10, 2017	Feb 28, 2017	18	Firm change	Other
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	NEUBERGER BERMAN BD LLC	Oct 12, 2015	Oct 5, 2015	-7	Firm change	Other
CLEARBRIDGE INVESTMENTS, LLC	AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Apr 13, 2007	Jun 12, 2007	60	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	CLEARBRIDGE INVESTMENTS, LLC	Dec 16, 2005	Dec 19, 2005	3	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
138756:2908:MA:2015-09-29	Oct 12, 2015	Oct 5, 2015	BOSTON, MA	Firm change

Relationships

Registered with (6)

→ APTUS CAPITAL ADVISORS, LLCRegistered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ FIRST FINANCIAL EQUITY CORPORATIONRegistered adviserregistration: previous registration
Feb 28, 2017 to Apr 5, 2017factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Oct 5, 2015 to Feb 10, 2017factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 12, 2007 to Oct 12, 2015factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 19, 2005 to Apr 13, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 16, 2002 to Dec 16, 2005factForm ADV

Dated events

No dated event names this entity yet.