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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
CA RA APPROVED 2025-01-14
  • CA RA
    APPROVED
    Since 2025-01-14

Branch Locations

Wayne, PA • United States

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • 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
Blackrock Investments, Llc / Blackrock Investment Mgmt, Llc Wayne PA 08/2015 06/2023
Bondbloxx Investment Management, Llc/Foreside Fund Services, Llc Larkspur CA 07/2023 11/2024
Capital Group / Capital Client Group, Inc. Los Angeles CA 01/2025 Present
  • 08/2015 → 06/2023
    Blackrock Investments, Llc / Blackrock Investment Mgmt, Llc
    Wayne, PA
  • 07/2023 → 11/2024
    Bondbloxx Investment Management, Llc/Foreside Fund Services, Llc
    Larkspur, CA
  • 01/2025 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-21
S63 Uniform Securities Agent State Law Examination 2013-08-13
  • S65 Uniform Investment Adviser Law Examination
    2015-12-21
  • S63 Uniform Securities Agent State Law Examination
    2013-08-13
Other Names
  • Katie Lamsback
  • Katherine M Lamsback
  • Katherine Mary Lamsback
  • Katherine Mary Abbott
  • Katie Abbott

View on SEC IAPD

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