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Jeffrey Neal Malbasa

Capital Client Group, Inc.

Los Angeles, CA

Los Angeles, CA

Cleveland Heights, OH

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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 2017-04-24
  • CA RA
    APPROVED
    Since 2017-04-24

Branch Locations

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

400 S. Hope Street 20Th Floor, Los Angeles, CA 90071 • United States

Cleveland Heights, OH • 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
Spero-Smith Investment Adv. Cleveland/Beachwood OH 06/2003 09/2016
Hpm Partners Cleveland OH 09/2016 04/2017
American Funds Los Angeles CA 04/2017 01/2021
American Funds Los Angeles CA 01/2021 04/2023
American Funds Los Angeles CA 04/2023 Present
  • 06/2003 → 09/2016
    Spero-Smith Investment Adv.
    Cleveland/Beachwood, OH
  • 09/2016 → 04/2017
    Hpm Partners
    Cleveland, OH
  • 04/2017 → 01/2021
    American Funds
    Los Angeles, CA
  • 01/2021 → 04/2023
    American Funds
    Los Angeles, CA
  • 04/2023 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
  • 2016-12-09 → 2017-04-20
    Cerity Partners Llc
    Cleveland, OH
    New York, NY
  • 2009-10-29 → 2016-10-07
    Spero-Smith Investment Advisers, Inc.
    Cleveland, OH
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-07-05
S65 Uniform Investment Adviser Law Examination 2009-10-16
  • S63 Uniform Securities Agent State Law Examination
    2017-07-05
  • S65 Uniform Investment Adviser Law Examination
    2009-10-16
Designations

View on SEC IAPD

Other Firms

POST ADVISORY GROUP, LLC
WESTMOUNT PARTNERS, LLC
GIDEON CAPITAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TLG ADVISORS, INC.
NORTHERN TRUST SECURITIES, INC.
NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

Other Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER
Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
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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