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Keith Alan Piken

Capital Client Group, Inc.

Los Angeles, CA

La Canada, CA

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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
CA RA APPROVED 2025-01-02
  • CA RA
    APPROVED
    Since 2025-01-02

Branch Locations

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States

La Canada, CA • 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
Capital Group Companies - American Funds Distributors, Inc. Los Angeles CA 01/2011 01/2021
Capital Group Companies - Capital Bank & Trust Co. Los Angeles CA 01/2021 07/2021
Capital Group Private Client Services, Inc. Los Angeles CA 07/2021 12/2024
Capital Group / Capital Client Group, Inc. Irvine CA 12/2023 Present
  • 01/2011 → 01/2021
    Capital Group Companies - American Funds Distributors, Inc.
    Los Angeles, CA
  • 01/2021 → 07/2021
    Capital Group Companies - Capital Bank & Trust Co.
    Los Angeles, CA
  • 07/2021 → 12/2024
    Capital Group Private Client Services, Inc.
    Los Angeles, CA
  • 12/2023 → Present
    Capital Group / Capital Client Group, Inc.
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-02-20
S63 Uniform Securities Agent State Law Examination 1995-02-06
  • S65 Uniform Investment Adviser Law Examination
    2014-02-20
  • S63 Uniform Securities Agent State Law Examination
    1995-02-06
Other Names
  • Keith Alan Piken
  • Keith A Piken

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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