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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 2013-12-10
  • CA RA
    APPROVED
    Since 2013-12-10

Branch Locations

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

Tulsa, OK • 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
Other Businesses

TPB, LLC ESTABLISEHD IN MARCH 2016 (INVESTOR) TO PASSIVELY INVEST IN COMMERICAL REAL ESTATE PROJECTS. THIS IS A NON-INVESTMENT SECURITIES RELATED LLC. NO HOURS WILL BE DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS. DAD JOKES POSITION: Parent of minors who published Joke Book NATURE: Helped produce Kids Joke book. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/13/2024 ADDRESS: Tulsa OK 74114, United States DESCRIPTION: Supervise kids/ Own bank account/ Act as custodian.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-10
S63 Uniform Securities Agent State Law Examination 1999-10-21
  • S65 Uniform Investment Adviser Law Examination
    2013-12-10
  • S63 Uniform Securities Agent State Law Examination
    1999-10-21
Other Names
  • T. P. Bardsley
  • T. Patrick Bardsley
  • Thomas Patrick Bardsley

View on SEC IAPD

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