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Joshua Jake Gallion

Capital Client Group, Inc.

Los Angeles, CA

San Antonio, TX

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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 2026-08-31
TX RA APPROVED 2013-07-09
  • CA RA
    APPROVED
    Since 2026-08-31
  • TX RA
    APPROVED
    Since 2013-07-09

Branch Locations

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

San Antonio, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Funds San Antonio TX 04/2014 03/2025
Capital Client Group, Inc. San Antonio TX 03/2025 08/2026
Capital Group/Capital Client Group, Inc. Los Angeles CA 08/2026 Present
  • 04/2014 → 03/2025
    American Funds
    San Antonio, TX
  • 03/2025 → 08/2026
    Capital Client Group, Inc.
    San Antonio, TX
  • 08/2026 → Present
    Capital Group/Capital Client Group, Inc.
    Los Angeles , CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-06-14
S63 Uniform Securities Agent State Law Examination 2009-02-18
  • S65 Uniform Investment Adviser Law Examination
    2013-06-14
  • S63 Uniform Securities Agent State Law Examination
    2009-02-18

View on SEC IAPD

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