Role at Aptus Capital Advisors
- Title on Schedule A
- Founder & Chief Investment Officer
- Control
- John Gardner is a control person of Aptus Capital Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- John Gardner has held the filed role since April 2013.
The firm
Form ADV filed 24 September 2026
Career on record
John Gardner has been registered through Aptus Capital Advisors since July 2013, and before that through Cornerstone Investment Management And Consulting,llc, UBS Financial Services Inc. and Morgan Stanley Smith Barney LLC.
- Aptus Capital Advisors, LLCCurrent– present · 13 yearsFairhope, AL · Adviser representative · Firm CRD 167626
- Cornerstone Investment Management And Consulting,llc– · under a yearDaphne, AL · Adviser representative · Firm CRD 124322
- Passed Series 3 · 2012
- UBS Financial Services Inc.– · 1 yearDayton, OH · Adviser representative · Firm CRD 8174
- Passed Series 7, Series 66 and Series 31 · 2010
- Morgan Stanley Smith Barney LLC– · 1 yearDayton, OH · Adviser representative · Firm CRD 149777
Registrations and exams
John Gardner has a current investment-adviser registration in Alabama and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Alabama | Investment adviser representative | Approved | 8 July 2013 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 September 2010 |
| Series 3 | National Commodity Futures Examination | 29 December 2012 |
| Series 31 | Futures Managed Funds Examination | 2 December 2010 |
| Series 7 | General Securities Representative Examination | 27 August 2010 |
- Name
- Uniform Combined State Law Examination
- Name
- National Commodity Futures Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- John David Gardner
- CRD
- 5821010
- Registration status
- Investment adviser registration
- Office
- 314 MAGNOLIA AVENUE, SUITE 200, Fairhope, AL 36532
- Firm bio
- aptuscapitaladvisors.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
JD Gardner is Aptus’ founder and chief investment officer. The firm says he worked at UBS and Morgan Stanley and as a research analyst before founding Aptus in 2013. Aptus Capital Advisors team biography
Education
- He holds an undergraduate degree in finance and an MBA with a finance concentration from Wright State University.Aptus Capital Advisors team biography
Credentials and memberships
- CFA charter; Chartered Market Technician (CMT).Aptus Capital Advisors team biography
Common questions
Where does John Gardner work?
John Gardner has been Founder & Chief Investment Officer of Aptus Capital Advisors, LLC since April 2013, and is a control person of the firm.
Is John Gardner a financial advisor?
Yes. John Gardner has a current investment-adviser registration in Alabama, through Aptus Capital Advisors since July 2013, as of 17 October 2026.
How many years of experience does John Gardner have?
John Gardner has worked in the financial industry for 15 years as of 17 October 2026, counted from 6 June 2011, across 4 adviser firms.
What exams has John Gardner passed?
John Gardner has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 3. The earliest, the Series 7, was passed in August 2010.
Where did John Gardner work before Aptus Capital Advisors?
Before Aptus Capital Advisors, John Gardner was registered through Cornerstone Investment Management And Consulting,llc, March 2013 to July 2013; UBS Financial Services Inc., March 2011 to June 2012; Morgan Stanley Smith Barney LLC, September 2010 to April 2011.
Where is John Gardner based?
John Gardner’s registered office is in Fairhope, AL.
Is John Gardner a CFA charterholder?
Aptus Capital Advisors lists John Gardner with the CFA credential (“CFA charter; Chartered Market Technician (CMT).”) on its website. CFA Institute confirms certification status.
Leadership at Aptus Capital Advisors
Brett WickmannChief Compliance Officer
John GoldsberryManaging Member
Beckham WyrickManaging Member