John D. Cartwright

CLG LLC

Long Beach, CA 90803

Some features on this profile are disabled

CRD#: 42283

Professional summary

John David Cartwright is a registered financial advisor currently at CLG LLC located in Long Beach, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1965. John has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) CLG, LLC d/b/a CLG, WEALTH MANAGEMENT. Investment Related. At Registered Location. RIA. Financial Advisor. Owner. Start Date: 01/02/2024. 20 hrs/ month; all during trading hours. Provide advice to clients. 2) Fixed Insurance. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 01/02/2024. 1 hr/ month; all during trading hours. Sales of fixed / traditional products. 3) CLG Holding Company, LLC. Not Investment Related. At Registered Location. Holding Company. Partner. Start Date: 08/15/2016. 1 hr/month; all during trading hours. Family holding company which owns CLG, LLC 4) John D. Cartwright & Associates, Inc. Investment Related. At Registered Location. Fixed Insurance. Owner/President. Start Date: 01/01/1974. 1 hr/month; all during trading hours. Owner, insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Cartwright's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 16, 2017 - Present

CLG LLC

Office #1: 4821 E 2nd Street, Long Beach, CA 90803

RIA

CRD#: 282605

Long Beach, CA

Past

January 2, 2024 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Long Beach, CA

Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LONG BEACH, CA

Past

September 13, 2019 - December 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LONG BEACH, CA

Past

September 12, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LONG BEACH, CA

Past

July 8, 1997 - September 12, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LONG BEACH, CA

Past

July 19, 1983 - September 12, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LONG BEACH, CA

Past

September 24, 1981 - July 7, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 1, 1974 - July 12, 1981

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

Past

February 19, 1965 - August 11, 1973

INDEPENDENT SECURITIES CORPORATION

CRD#: 262

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".

CLG LLC

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - (9/29/2016 Approved)

California

Registered Investment Advisory firm - (4/18/2018 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/16/2017)

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

Series 63

Date: 11/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/11/1963

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Current Firm

CLG LLC

CRD#: 282605 / SEC#: 801-108414

RIA

Registered Investment Advisory firm - (9/29/2016 Approved)

California

Registered Investment Advisory firm - (4/18/2018 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

4821 E 2nd Street, Long Beach, CA 90803

Mailing Address

Phone number

(310) 329-5150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/19/2025)

Regulatory assets under management

Total Number of Accounts	2,539
AUM (Assets Under Management)	$ 953,822,025

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John D. Cartwright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Cartwright's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

INDEPENDENT FINANCIAL PLANNERS CORPORATION

INDEPENDENT SECURITIES CORPORATION

Primary Firm SEC Registration

CLG LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/23/1994

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/11/1963

Series 24

Date: 1/2/2023

Current Firm

CLG LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLG LLC

TRUST BUT VERIFY

Similar Advisors