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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 2024-09-19
  • CA RA
    APPROVED
    Since 2024-09-19

Branch Locations

Riverview, FL • United States

400 S. Hope Street 20Th Floor, Los Angeles, CA 90071 • 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
American Funds Carmel IN 08/2019 09/2020
Standard Textile Cincinnati OH 12/2018 07/2019
University Of Cincinnati Cincinnati OH 08/2013 12/2018
Unemployed Cincinnati OH 07/2018 12/2018
Asset Campus Housing Llc Cincinnati OH 08/2015 06/2018
American Funds Carmel IN 09/2020 01/2021
American Funds Carmel IN 01/2021 09/2023
American Funds San Antonio TX 09/2023 09/2024
Capital Group / Capital Client Group, Inc. Los Angeles CA 09/2024 Present
  • 08/2019 → 09/2020
    American Funds
    Carmel, IN
  • 12/2018 → 07/2019
    Standard Textile
    Cincinnati, OH
  • 08/2013 → 12/2018
    University Of Cincinnati
    Cincinnati, OH
  • 07/2018 → 12/2018
    Unemployed
    Cincinnati, OH
  • 08/2015 → 06/2018
    Asset Campus Housing Llc
    Cincinnati, OH
  • 09/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → 09/2023
    American Funds
    Carmel, IN
  • 09/2023 → 09/2024
    American Funds
    San Antonio, TX
  • 09/2024 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-15
S63 Uniform Securities Agent State Law Examination 2020-02-07
  • S65 Uniform Investment Adviser Law Examination
    2020-08-15
  • S63 Uniform Securities Agent State Law Examination
    2020-02-07

View on SEC IAPD

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