John Robert Guagliardo

Employer firm

Aptus Capital Advisors, LLC CRD 167626

$14.1B regulatory AUM 33 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• GENERAL CONSULTING SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2015 → 02/2017
  Neuberger Berman Llc
  New York, NY
• 02/2017 → 04/2017
  First Financial Equity Corporation
  Scottsdale, AZ
• 04/2017 → 06/2025
  Locorr Distributors, Llc
  Excelsior, MN
• 07/2025 → Present
  Aptus Capital Advisors, Llc
  Naperville, IL
• 12/2025 → Present
  Quasar Distributors, Llc
  Naperville, IL

Previous Registrations

• 2017-02-28 → 2017-04-05
  Ffec Wealth Partners Llc
  Grand Haven, MI
  Addison, TX
• 2015-10-05 → 2017-02-10
  Neuberger Berman Bd Llc
  Naperville, IL
  New York, NY
• 2007-06-12 → 2015-10-12
  Amundi Pioneer Institutional Asset Management, Inc.
  Boston, MA
• 2005-12-19 → 2007-04-13
  Clearbridge Investments, Llc
  New York, NY
• 2002-05-16 → 2005-12-16
  Citigroup Global Markets Inc.
  Stamford, CT

Other Businesses

1). Aptus Capital Advisors, LLC; Investment Related; Naperville, IL; Sales; Strategic Consultant; Develop and maintain financial advisor relationships, capital market updates, and active ETFs to Financial Advisors; Start: 7/8/2025; 160 Hours Per Month and 0 During Trading. 2). Rental Property; Not investment Related; Corolla, NC; Rental Property; Passive Investor; All day-to-day responsibilities are handled by TWIDDY Management Company; Start: 1/1/2011; 1 Hour Per Month and 0 During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-10-03
• S66 Uniform Combined State Law Examination
  2007-06-07
• S63 Uniform Securities Agent State Law Examination
  1998-08-06

Other Names

• John Guagliardo