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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
TX RA APPROVED 2022-08-21
  • TX RA
    APPROVED
    Since 2022-08-21

Branch Locations

3500 Wiseman Blvd, San Antonio, TX 78251-4321 • United States

San Marcos, TX • United States

6455 Irvine Center Drive, Irvine, CA 92618 • 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
Dimensional Fund Advisors Austin TX 05/2012 10/2018
Pimco Investments Llc / Pacific Investment Mgmt Co, Llc Austin TX 10/2018 10/2020
Lion Street Financial / Lion Street Advisors Austin TX 01/2021 07/2022
Integrity Marketing Group Dallas TX 01/2022 07/2022
Capital Group / American Funds Distributors, Inc. San Antonio CA 08/2022 05/2023
Capital Group - American Funds Distributors, Inc. San Antonio TX 05/2023 12/2024
Capital Group / Capital Client Group, Inc. San Antonio TX 12/2024 Present
  • 05/2012 → 10/2018
    Dimensional Fund Advisors
    Austin, TX
  • 10/2018 → 10/2020
    Pimco Investments Llc / Pacific Investment Mgmt Co, Llc
    Austin, TX
  • 01/2021 → 07/2022
    Lion Street Financial / Lion Street Advisors
    Austin, TX
  • 01/2022 → 07/2022
    Integrity Marketing Group
    Dallas, TX
  • 08/2022 → 05/2023
    Capital Group / American Funds Distributors, Inc.
    San Antonio, CA
  • 05/2023 → 12/2024
    Capital Group - American Funds Distributors, Inc.
    San Antonio, TX
  • 12/2024 → Present
    Capital Group / Capital Client Group, Inc.
    San Antonio, TX
Previous Registrations
  • 2021-01-07 → 2022-07-07
    Lion Street Advisors, Llc
    Austin, TX
  • 2012-05-17 → 2018-10-10
    Austin, TX
  • 2011-12-05 → 2012-05-15
    Afam Capital, Inc.
    Austin, TX
  • 2008-09-17 → 2009-11-18
    San Antonio, TX
  • 2004-10-26 → 2008-04-17
    Kestra Investment Services, Llc
    Austin, TX
    Austin, TX
    Howell, NJ
    Armonic, NY
  • 2004-03-22 → 2004-08-25
    Chase Investment Services Corp.
    Houston, TX
  • 2003-06-23 → 2004-03-17
    Kestra Investment Services, Llc
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-27
S63 Uniform Securities Agent State Law Examination 1994-01-27
  • S66 Uniform Combined State Law Examination
    2002-09-27
  • S63 Uniform Securities Agent State Law Examination
    1994-01-27
Other Names
  • Duane Robert Mattson
  • Duane Mattson

View on SEC IAPD

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