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Alexander Joseph Diorio

Capital Client Group, Inc.

Los Angeles, CA

Rockville Centre, NY

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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 2018-09-07
  • CA RA
    APPROVED
    Since 2018-09-07

Branch Locations

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

Rockville Centre, NY • 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
J.P. Morgan New York NY 04/2013 07/2018
American Funds Los Angeles CA 07/2018 01/2022
American Funds Los Angeles CA 01/2022 Present
  • 04/2013 → 07/2018
    J.P. Morgan
    New York, NY
  • 07/2018 → 01/2022
    American Funds
    Los Angeles, CA
  • 01/2022 → Present
    American Funds
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-07
S63 Uniform Securities Agent State Law Examination 2013-08-28
  • S65 Uniform Investment Adviser Law Examination
    2018-09-07
  • S63 Uniform Securities Agent State Law Examination
    2013-08-28
Other Names
  • Alex Diorio

View on SEC IAPD

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