John P. Cleary

Some features on this profile are disabled

CRD#: 2118432

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.

John P Cleary, who also goes by John Paul Cleary, John Cleary, Jake Cleary, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1992. John had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Paul Cleary | John Cleary | Jake Cleary

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) Insurance; investment related; same address; insurance sales and service; Insurance Producer, 2/13/2013; 2 hours per month, both during securities trading hours; offers long term care, life and health, and annuities. (2) JPC Wealth LLC; not investment-related; private residence; Owner; 9/9/2025; 1 hour per month, 1 hour during securities trading hours; No client involvement. Established for managing income and expenses.

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

September 3, 2025 - October 13, 2025

THE WEALTHGARDEN F.S. LLC

RIA

CRD#: 311927

Orinda, CA

Past

July 19, 2023 - August 4, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

ORINDA, CA

Past

July 19, 2023 - August 4, 2025

LPL FINANCIAL LLC

CRD#: 6413

ORINDA, CA

Past

June 5, 2014 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

BERKELEY, CA

Past

June 5, 2014 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

BERKELEY, CA

Past

May 18, 2011 - March 24, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BERKELEY, CA

Past

May 18, 2011 - March 24, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BERKELEY, CA

Past

March 1, 2011 - June 7, 2011

LEWIS ASSET MANAGEMENT

RIA

CRD#: 143409

LAFAYETTE, CA

Past

February 18, 2011 - April 26, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LAFAYETTE, CA

Past

June 3, 2009 - September 2, 2010

TD AMERITRADE, INC.

CRD#: 7870

WALNUT CREEK, CA

Past

June 1, 2009 - September 2, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

WALNUT CREEK, CA

Past

June 1, 2009 - September 2, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

WALNUT CREEK, CA

Past

March 29, 2007 - July 17, 2008

TD AMERITRADE, INC.

CRD#: 7870

BOSTON, MA

Past

March 26, 2007 - July 17, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

BOSTON, MA

Past

March 26, 2007 - July 17, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BOSTON, MA

Past

November 7, 2006 - February 23, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SAN FRANCISCO, CA

Past

March 12, 2003 - May 10, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WALNUT CREEK, CA

Past

November 13, 2002 - May 10, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WALNUT CREEK, CA

Past

July 24, 1996 - October 14, 2002

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

November 12, 1993 - June 7, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 9, 1992 - September 2, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 9, 1992 - November 24, 1992

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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 WEALTHGARDEN F.S. LLC

CRD#: 311927 / SEC#: 801-129740

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

California

Registered Investment Advisory firm - (3/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2025 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: 3/7/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/31/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/2/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE WEALTHGARDEN F.S. LLC

CRD#: 311927 / SEC#: 801-129740

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

California

Registered Investment Advisory firm - (3/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1730 E. Holly Ave Suite 838, El Segundo, CA 90245

Mailing Address

Phone number

(310) 571-8489

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE WEALTHGARDEN WRAP BROCHURE (5/21/2025)

ADV 2A - FIRM BROCHURE - THE WEALTHGARDEN F.S. LLC (5/21/2025)

Regulatory assets under management

Total Number of Accounts	588
AUM (Assets Under Management)	$ 182,314,226

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Cleary

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEWIS ASSET MANAGEMENT

CAMBRIDGE INVESTMENT RESEARCH, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BROWNCO, LLC

UBS FINANCIAL SERVICES INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

THE WEALTHGARDEN F.S. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2003

Series 63

Date: 10/31/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/28/1992

Series 6

Date: 11/2/1992

Current Firm

THE WEALTHGARDEN F.S. LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE WEALTHGARDEN F.S. LLC

TRUST BUT VERIFY

Contact information

Similar Advisors