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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 2017-12-14
  • CA RA
    APPROVED
    Since 2017-12-14

Branch Locations

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

Seattle, WA • 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
Capital Bank And Trust Company (Mass Transfer) Chicago IL 01/2016 11/2017
American Funds Los Angeles CA 12/2017 01/2022
American Funds Los Angeles CA 01/2022 02/2022
American Funds Los Angeles CA 02/2022 Present
  • 01/2016 → 11/2017
    Capital Bank And Trust Company (Mass Transfer)
    Chicago, IL
  • 12/2017 → 01/2022
    American Funds
    Los Angeles, CA
  • 01/2022 → 02/2022
    American Funds
    Los Angeles, CA
  • 02/2022 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-01-20
S65 Uniform Investment Adviser Law Examination 2015-01-30
  • S63 Uniform Securities Agent State Law Examination
    2018-01-20
  • S65 Uniform Investment Adviser Law Examination
    2015-01-30
Designations

View on SEC IAPD

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