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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
NY RA APPROVED 2026-07-22
NC RA APPROVED 2026-07-22
CA RA APPROVED 2016-11-11
  • NY RA
    APPROVED
    Since 2026-07-22
  • NC RA
    APPROVED
    Since 2026-07-22
  • CA RA
    APPROVED
    Since 2016-11-11

Branch Locations

399 Park Ave., 39Th Floor, New York, NY 10022 • United States

Charlotte, NC • 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
Capital Group / Capital Client Group, Inc. New York NY 06/2016 Present
  • 06/2016 → Present
    Capital Group / Capital Client Group, Inc.
    New York , NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-11
S63 Uniform Securities Agent State Law Examination 2012-06-08
  • S65 Uniform Investment Adviser Law Examination
    2016-11-11
  • S63 Uniform Securities Agent State Law Examination
    2012-06-08

View on SEC IAPD

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