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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
CA RA APPROVED 2018-08-15
  • CA RA
    APPROVED
    Since 2018-08-15

Branch Locations

11100 Santa Monica Blvd. 18Th Floor, Los Angeles, CA 90025 • United States

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

400 S. Hope Street 20Th Floor, Los Angeles, CA 90071 • United States

Long Beach, 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
Merrill Lynch Irvine CA 09/2014 01/2017
University Of Southern California Los Angeles CA 08/2014 04/2017
Capital Group Companies Los Angeles CA 01/2017 01/2020
Capital Group Companies Los Angeles CA 01/2020 10/2022
Capital Group / American Funds Distributors, Inc. Los Angeles CA 10/2022 05/2025
Capital Group / Capital Client Group, Inc. Los Angeles CA 05/2025 Present
  • 09/2014 → 01/2017
    Merrill Lynch
    Irvine, CA
  • 08/2014 → 04/2017
    University Of Southern California
    Los Angeles, CA
  • 01/2017 → 01/2020
    Capital Group Companies
    Los Angeles, CA
  • 01/2020 → 10/2022
    Capital Group Companies
    Los Angeles, CA
  • 10/2022 → 05/2025
    Capital Group / American Funds Distributors, Inc.
    Los Angeles, CA
  • 05/2025 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-24
  • S66 Uniform Combined State Law Examination
    2010-08-24
Other Names
  • Joseph Byron Dowd
  • Joseph B Dowd

View on SEC IAPD

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