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Lauren Elizabeth Zappia

Capital Client Group, Inc.

Los Angeles, CA

Hoboken, NJ

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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
CA RA APPROVED 2026-07-14
NJ RA APPROVED 2026-07-13
  • CA RA
    APPROVED
    Since 2026-07-14
  • NJ RA
    APPROVED
    Since 2026-07-13

Branch Locations

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

Hoboken, NJ • 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
Flynn Family Office New York NY 01/2017 05/2018
Oppenheimer Funds New York NY 07/2018 06/2019
Fordham University New York NY 09/2014 05/2018
Unemployed Rochester NY 05/2018 07/2018
American Funds Carmel IN 07/2019 04/2020
American Funds Carmel IN 04/2020 01/2021
American Funds Carmel IN 01/2021 04/2023
Capital Group / Capital Client Group, Inc. Los Angeles CA 04/2023 Present
  • 01/2017 → 05/2018
    Flynn Family Office
    New York, NY
  • 07/2018 → 06/2019
    Oppenheimer Funds
    New York, NY
  • 09/2014 → 05/2018
    Fordham University
    New York, NY
  • 05/2018 → 07/2018
    Unemployed
    Rochester, NY
  • 07/2019 → 04/2020
    American Funds
    Carmel, IN
  • 04/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → 04/2023
    American Funds
    Carmel, IN
  • 04/2023 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-15
S63 Uniform Securities Agent State Law Examination 2018-11-21
  • S65 Uniform Investment Adviser Law Examination
    2019-11-15
  • S63 Uniform Securities Agent State Law Examination
    2018-11-21

View on SEC IAPD

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JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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