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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
NY RA APPROVED 2024-08-16
  • NY RA
    APPROVED
    Since 2024-08-16

Branch Locations

399 Park Ave., 39Th Floor, New York, NY 10022 • United States

New York, NY • 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
Barclays New York NY 09/2008 08/2019
Unemployed New York NY 08/2019 01/2020
American Funds New York NY 01/2020 Present
  • 09/2008 → 08/2019
    Barclays
    New York, NY
  • 08/2019 → 01/2020
    Unemployed
    New York, NY
  • 01/2020 → Present
    American Funds
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-09-06
  • S63 Uniform Securities Agent State Law Examination
    2005-09-06
Designations

View on SEC IAPD

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