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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 2015-12-23
  • CA RA
    APPROVED
    Since 2015-12-23

Branch Locations

Rancho Santa Margarita, CA • United States

400 S. Hope Street 20Th Floor, Los Angeles, CA 90071 • 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 Irvine CA 10/2015 12/2016
American Funds Los Angeles CA 12/2016 04/2019
American Funds Los Angeles CA 04/2019 04/2022
Capital Group - American Funds Distributors, Inc. Los Angeles CA 04/2022 04/2024
Capital Group - American Funds Distributors, Inc. Los Angeles CA 04/2024 Present
  • 10/2015 → 12/2016
    American Funds
    Irvine, CA
  • 12/2016 → 04/2019
    American Funds
    Los Angeles, CA
  • 04/2019 → 04/2022
    American Funds
    Los Angeles, CA
  • 04/2022 → 04/2024
    Capital Group - American Funds Distributors, Inc.
    Los Angeles, CA
  • 04/2024 → Present
    Capital Group - American Funds Distributors, Inc.
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-23
S63 Uniform Securities Agent State Law Examination 2013-09-11
  • S65 Uniform Investment Adviser Law Examination
    2015-12-23
  • S63 Uniform Securities Agent State Law Examination
    2013-09-11
Other Names
  • Jeff Samuel Norin

View on SEC IAPD

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