Sean Michael Tupy

Capital Client Group, Inc.

Aliso Viejo, 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

Authority	Category	Status	Date
CA	RA	APPROVED	2013-05-21

CA RA
APPROVED

Since 2013-05-21

Branch Locations

6455 Irvine Center Drive, Irvine, CA 92618 • United States

Aliso Viejo, 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

Organization	City	State	From	To
American Funds	Irvine	CA	10/2007	Present

10/2007 → Present

American Funds

Irvine, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-05-20
S63	Uniform Securities Agent State Law Examination	2010-06-21

S65 Uniform Investment Adviser Law Examination

2013-05-20
S63 Uniform Securities Agent State Law Examination

2010-06-21

View on SEC IAPD

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