John Williams

CITIZENS PRIVATE WEALTH

Westlake Village, CA

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CRD#: 6398682

Professional summary

John Williams, CFP®, who also goes by John Michael Williams, John M Williams, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Westlake Village, California and CITIZENS SECURITIES, INC. located in El Segundo, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. John has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Michael Williams | John M Williams

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) - RIA

Click below to view John Williams'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®

CFP^®

Certified Financial Planner

Experience

Current

May 11, 2026 - Present

CITIZENS PRIVATE WEALTH

RIA

CRD#: 106743

Westlake Village, CA

Current

May 11, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 200 N Pacific Coast Hwy 12th Floor, El Segundo, CA 90245

RIA

CRD#: 39550

El Segundo, CA

Current

May 11, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 200 N Pacific Coast Hwy 12th Floor, El Segundo, CA 90245

RIA

CRD#: 39550

El Segundo, CA

Past

May 19, 2025 - February 6, 2026

TLG ADVISORS, INC.

RIA

CRD#: 111052

Bellevue, WA

Past

May 19, 2025 - February 6, 2026

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

August 14, 2024 - April 23, 2025

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

Bellevue, WA

Past

August 13, 2024 - April 23, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

May 22, 2024 - August 1, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LOS ANGELES, CA

Past

September 29, 2023 - August 1, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS ANGELES, CA

Past

August 20, 2018 - August 5, 2024

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

Los Angeles, CA

Past

June 5, 2017 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

LOS ANGELES, 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".

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/11/2026)

IAR

California
(5/11/2026)

Washington
(5/11/2026)

IAR

Washington
(5/11/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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Contact information

Main Address

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 846-0100

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,846
AUM (Assets Under Management)	$ 12,182,945,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

John Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2018

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2017

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

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