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Keith Daniel Ashley

Capital Client Group, Inc.

Los Angeles, CA

Newburgh, IN

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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 2016-10-26
  • CA RA
    APPROVED
    Since 2016-10-26

Branch Locations

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

Newburgh, 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 Indianapolis IN 04/2014 07/2020
American Funds - Capital Group Los Angeles CA 07/2020 01/2021
American Funds - Capital Group Los Angeles CA 01/2021 Present
  • 04/2014 → 07/2020
    American Funds
    Indianapolis, IN
  • 07/2020 → 01/2021
    American Funds - Capital Group
    Los Angeles, CA
  • 01/2021 → Present
    American Funds - Capital Group
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-19
S63 Uniform Securities Agent State Law Examination 2007-10-30
  • S65 Uniform Investment Adviser Law Examination
    2013-09-19
  • S63 Uniform Securities Agent State Law Examination
    2007-10-30

View on SEC IAPD

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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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