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Darrell Wayne Pounders

Capital Client Group, Inc.

Los Angeles, CA

Midway, UT

CRD 4906308

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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 2015-07-21
  • CA RA
    APPROVED
    Since 2015-07-21

Branch Locations

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

Midway, UT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
American Funds San Antonio TX 10/2014 04/2018
American Funds Los Angeles CA 04/2018 01/2021
American Funds Los Angeles CA 01/2021 Present
  • 10/2014 → 04/2018
    American Funds
    San Antonio, TX
  • 04/2018 → 01/2021
    American Funds
    Los Angeles, CA
  • 01/2021 → Present
    American Funds
    Los Angeles, CA
Previous Registrations
  • 2007-09-18 → 2011-10-03
    Securian Financial Services, Inc.
    Orlando, FL
    Fort Myers, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-10
S63 Uniform Securities Agent State Law Examination 2006-01-13
  • S65 Uniform Investment Adviser Law Examination
    2007-09-10
  • S63 Uniform Securities Agent State Law Examination
    2006-01-13

View on SEC IAPD

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