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Brian Michael Walsh

Capital Client Group, Inc.

Los Angeles, CA

Winchester, MA

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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 2014-08-14
  • CA RA
    APPROVED
    Since 2014-08-14

Branch Locations

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

Winchester, MA • 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 04/2015 04/2024
American Funds Los Angeles CA 04/2024 Present
  • 04/2015 → 04/2024
    American Funds
    Los Angeles, CA
  • 04/2024 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-07
S65 Uniform Investment Adviser Law Examination 1997-06-12
S63 Uniform Securities Agent State Law Examination 1997-06-06
  • S66 Uniform Combined State Law Examination
    2005-10-07
  • S65 Uniform Investment Adviser Law Examination
    1997-06-12
  • S63 Uniform Securities Agent State Law Examination
    1997-06-06

View on SEC IAPD

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