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Joshua Steven Wood

Capital Client Group, Inc.

Carmel, IN

Plainfield, IN

CRD 5217310

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Employer firm

Capital Client Group, Inc. CRD 6247

Reported services (Item 5G)

  • RECOMMENDING AFFILIATE AS INVESTMENT ADVISER OF SMA ASSETS

From the firm’s Form ADV. Read the guides:

Current Employers
Capital Client Group, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2013-04-25
  • IN RA
    APPROVED
    Since 2013-04-25

Branch Locations

12711 N. Meridian Street, Carmel, IN 46032 • United States

Plainfield, IN • 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 Carmel IN 11/2012 01/2018
American Funds Carmel IN 01/2018 01/2021
American Funds Carmel IN 01/2021 Present
  • 11/2012 → 01/2018
    American Funds
    Carmel, IN
  • 01/2018 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → Present
    American Funds
    Carmel, IN
Previous Registrations
  • 2012-07-23 → 2012-11-05
    National Planning Corporation
    Greencastle, IN
    Indianapolis, IN
  • 2011-04-26 → 2012-08-01
    Advantage Investment Management, Llc
    Greencastle, IN
  • 2007-07-16 → 2011-04-11
    Edward Jones
    Greencastle, IN
    Greencastle, IN
    Greencastle, IN
    St Louis, MO
  • 2006-11-22 → 2007-07-12
    Ameriprise Financial Services, Llc
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-21
  • S66 Uniform Combined State Law Examination
    2006-11-21

View on SEC IAPD

Nearby Firms

VALIC FINANCIAL ADVISORS, INC.
OPPENHEIMER ASSET MANAGEMENT
ONEAMERICA SECURITIES, INC.

Nearby Investors

ADAM TREVOR BUNDAY
GARY MICHAEL BRIDWELL
DAKOTA A BUNDAY

Nearby Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN

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