John C. Westerlund

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CRD#: 5316092

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 C Westerlund, who also goes by John C Westerland, John C (mi Only) Westerlund, John Christopher Westerlund, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2007. John had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John C Westerland | John C (mi Only) Westerlund | John Christopher Westerlund

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.

The advisor shows no other business activity.

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

July 6, 2011 - December 31, 2012

CLARITY WEALTH ADVISORS

RIA

CRD#: 157913

SAN RAMON, CA

Past

January 18, 2011 - August 4, 2011

CONSILIUM WEALTH MANAGEMENT

RIA

CRD#: 155343

SAN RAMON, CA

Past

August 19, 2009 - March 2, 2010

DESTINATION WEALTH MANAGEMENT

RIA

CRD#: 110365

WALNUT CREEK, CA

Past

December 12, 2008 - June 10, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WALNUT CREEK, CA

Past

October 7, 2008 - June 10, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WALNUT CREEK, CA

Past

April 13, 2007 - October 9, 2008

DESTINATION WEALTH MANAGEMENT

RIA

CRD#: 110365

WALNUT CREEK, CA

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".

CLARITY WEALTH ADVISORS

CLARITY INSURANCE SOLUTIONS | CLARITY WEALTH ADVISORS, LLC | CLARITY WEALTH ADVISORS | CLARITY INSURANCE SOLUTIONS, LLC

CRD#: 157913 / SEC#: 801-79251

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

California

Registered Investment Advisory firm - (3/28/2014 Terminated)

Connecticut

Registered Investment Advisory firm - (3/20/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/28/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 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

Series 63

Date: 12/17/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/12/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/2008

General Securities Representative Examination

Current Firm

CLARITY WEALTH ADVISORS

CLARITY INSURANCE SOLUTIONS | CLARITY WEALTH ADVISORS, LLC | CLARITY WEALTH ADVISORS | CLARITY INSURANCE SOLUTIONS, LLC

CRD#: 157913 / SEC#: 801-79251

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

California

Registered Investment Advisory firm - (3/28/2014 Terminated)

Connecticut

Registered Investment Advisory firm - (3/20/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/28/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

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Contact information

Main Address

2160 The Alameda Suite A, San Jose, CA 95126

Mailing Address

Phone number

(408) 560-3220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2 DISCLOSURE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,289
AUM (Assets Under Management)	$ 601,219,849

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.

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Firm Stability Insights

John C. Westerlund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONSILIUM WEALTH MANAGEMENT

DESTINATION WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DESTINATION WEALTH MANAGEMENT

Primary Firm SEC Registration

CLARITY WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2008

Series 65

Date: 4/12/2007

Series 7

Date: 12/11/2008

Current Firm

CLARITY WEALTH ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLARITY WEALTH ADVISORS

TRUST BUT VERIFY

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