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Employer firm

Capital Client Group, Inc. CRD 6247

Reported services (Item 5G)

  • RECOMMENDING AFFILIATE AS INVESTMENT ADVISER OF SMA ASSETS

From the firm’s Form ADV. Read the guides:

Current Employers
Capital Client Group, Inc.

333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-08-02
  • TX RA
    APPROVED
    Since 2013-08-02

Branch Locations

3500 Wiseman Blvd, San Antonio, TX 78251-4321 • United States

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

San Antonio, TX • 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 10/2014 01/2021
American Funds San Antonio TX 01/2021 03/2021
American Funds San Antonio TX 03/2021 Present
  • 10/2014 → 01/2021
    American Funds
    San Antonio, TX
  • 01/2021 → 03/2021
    American Funds
    San Antonio, TX
  • 03/2021 → Present
    American Funds
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-08-02
S63 Uniform Securities Agent State Law Examination 2008-03-07
  • S65 Uniform Investment Adviser Law Examination
    2013-08-02
  • S63 Uniform Securities Agent State Law Examination
    2008-03-07
Other Names
  • Stephanie Ann Garcia

View on SEC IAPD

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