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Lori Lynn Guy

Capital Client Group, Inc.

Los Angeles, CA

Houston, TX

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Current Employers
Capital Client Group, Inc.

333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-20
TX RA APPROVED 2013-06-11
  • CA RA
    APPROVED
    Since 2026-01-20
  • TX RA
    APPROVED
    Since 2013-06-11

Branch Locations

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States

Houston, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Group / American Funds Distributors, Inc. San Antonio TX 06/2008 01/2026
Capital Group / Capital Client Group, Inc. Los Angeles CA 01/2026 Present
  • 06/2008 → 01/2026
    Capital Group / American Funds Distributors, Inc.
    San Antonio, TX
  • 01/2026 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Previous Registrations
  • 2007-10-31 → 2008-06-25
    Wells Fargo Clearing Services, Llc
    Addison, TX
  • 2004-05-07 → 2007-10-29
    Bbva Compass Investment Solutions, Inc
    Houston, TX
    Houston, TX
  • 2000-12-06 → 2002-11-20
    Morgan Stanley Dw Inc.
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-04
S63 Uniform Securities Agent State Law Examination 2000-08-17
  • S65 Uniform Investment Adviser Law Examination
    2000-12-04
  • S63 Uniform Securities Agent State Law Examination
    2000-08-17
Other Names
  • Lori Lynn Guy
  • Lori Lynn Guy
  • Lori Lynn Stovall

View on SEC IAPD

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Other Investors

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DIMITRI JIMMY KRIKELAS
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Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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