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Steven Joseph Sperry

Capital Client Group, Inc.

Los Angeles, CA

Glendale, CA

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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 2017-01-03
  • CA RA
    APPROVED
    Since 2017-01-03

Branch Locations

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

Glendale, CA • 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 San Antonio TX 04/2011 12/2016
American Funds Los Angeles CA 01/2017 04/2020
American Funds Los Angeles CA 04/2020 10/2021
American Funds Los Angeles CA 10/2021 04/2024
American Funds Los Angeles CA 04/2024 Present
  • 04/2011 → 12/2016
    American Funds
    San Antonio, TX
  • 01/2017 → 04/2020
    American Funds
    Los Angeles, CA
  • 04/2020 → 10/2021
    American Funds
    Los Angeles, CA
  • 10/2021 → 04/2024
    American Funds
    Los Angeles, CA
  • 04/2024 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
  • 2010-05-12 → 2011-02-11
    First Command Brokerage Services, Inc.
    Scottsdale, AZ
    Glendale, AZ
    Glendale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-04
S63 Uniform Securities Agent State Law Examination 2010-01-11
  • S65 Uniform Investment Adviser Law Examination
    2010-05-04
  • S63 Uniform Securities Agent State Law Examination
    2010-01-11
Designations
Other Names
  • Steven Sperry
  • Steven J Sperry

View on SEC IAPD

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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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