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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 2019-07-31
  • CA RA
    APPROVED
    Since 2019-07-31

Branch Locations

Pacific Palisades, CA • United States

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • 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
Elkins Kalt Weintraub Reuben Gartside Llp Los Angeles CA 05/2011 01/2019
Ucla Extension Los Angeles CA 06/2010 Present
American Funds Los Angeles CA 01/2019 04/2023
American Funds Los Angeles CA 04/2023 Present
  • 05/2011 → 01/2019
    Elkins Kalt Weintraub Reuben Gartside Llp
    Los Angeles, CA
  • 06/2010 → Present
    Ucla Extension
    Los Angeles, CA
  • 01/2019 → 04/2023
    American Funds
    Los Angeles, CA
  • 04/2023 → Present
    American Funds
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-31
  • S66 Uniform Combined State Law Examination
    2019-07-31
Other Names
  • Leslie Diana Bogart

View on SEC IAPD

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