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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 2013-04-25
  • CA RA
    APPROVED
    Since 2013-04-25

Branch Locations

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

Avon, CT • 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
American Funds Los Angeles CA 12/2015 01/2021
American Funds Los Angeles CA 01/2021 Present
  • 12/2015 → 01/2021
    American Funds
    Los Angeles, CA
  • 01/2021 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
  • 2010-05-01 → 2012-02-16
    Minneapolis, MN
    Boston, MA
  • 2006-01-25 → 2010-05-01
    Bofa Advisors, Llc
    Boston, MA
  • 2003-01-23 → 2005-10-26
    Chase Investment Services Corp.
    New York City, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-12
  • S66 Uniform Combined State Law Examination
    2001-07-12

View on SEC IAPD

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