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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 2025-03-13
  • CA RA
    APPROVED
    Since 2025-03-13

Branch Locations

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

Lutherville, MD • 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
Invesco Distributors, Inc. / Invesco Advisers, Inc. Houston TX 12/2010 02/2018
Brown Advisory / Alps Distributors, Inc. Baltimore MD 02/2018 02/2020
Transamerica Investors Securities Corp./Transamerica Ret. Advrs Baltimore MD 02/2020 02/2025
Capital Group / Capital Client Group, Inc. Los Angeles CA 02/2025 Present
  • 12/2010 → 02/2018
    Invesco Distributors, Inc. / Invesco Advisers, Inc.
    Houston, TX
  • 02/2018 → 02/2020
    Brown Advisory / Alps Distributors, Inc.
    Baltimore, MD
  • 02/2020 → 02/2025
    Transamerica Investors Securities Corp./Transamerica Ret. Advrs
    Baltimore, MD
  • 02/2025 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-25
  • S66 Uniform Combined State Law Examination
    2012-08-25

View on SEC IAPD

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