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James Gregory Garrett

Capital Client Group, Inc.

New Canaan, CT

New York, NY

CRD 2428697

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

Branch Locations

New Canaan, CT • United States

399 Park Ave., 39Th Floor, New York, NY 10022 • 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 Los Angeles CA 01/2002 Present
  • 01/2002 → Present
    American Funds
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-12-24
S65 Uniform Investment Adviser Law Examination 1993-12-10
  • S63 Uniform Securities Agent State Law Examination
    2009-12-24
  • S65 Uniform Investment Adviser Law Examination
    1993-12-10
Designations
  • Chartered Financial Analyst
Other Names
  • J Gregory Garrett
  • Greg Garrett

View on SEC IAPD

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