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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
IN RA APPROVED 2015-05-05
  • IN RA
    APPROVED
    Since 2015-05-05

Branch Locations

12711 N. Meridian Street, Carmel, IN 46032 • United States

Whitestown, IN • 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. Carmel IN 05/2014 Present
  • 05/2014 → Present
    Capital Group / Capital Client Group, Inc.
    Carmel, IN
Previous Registrations
  • 2009-11-13 → 2010-05-10
    Lebanon, IN
  • 2009-01-16 → 2009-11-13
    Natcity Investments, Inc.
    Lebanon, IN
  • 2005-09-29 → 2009-01-08
    Waddell & Reed
    Indianapolis, IN
    Charleroi, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-05
S63 Uniform Securities Agent State Law Examination 2005-06-16
  • S65 Uniform Investment Adviser Law Examination
    2015-05-05
  • S63 Uniform Securities Agent State Law Examination
    2005-06-16

View on SEC IAPD

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