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John Rivera

Capital Client Group, Inc.

Los Angeles, CA

Carmel, IN

Indianapolis, IN

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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
IN RA APPROVED 2020-04-07
  • IN RA
    APPROVED
    Since 2020-04-07

Branch Locations

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

12711 N. Meridian Street, Carmel, IN 46032 • United States

Indianapolis, IN • 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
Morgan Stanley Wealth Management Lafayette IN 12/2016 09/2018
Indiana Farm Bureau Insurance Lafayette IN 07/2016 12/2016
Unemployed Indianapolis IN 09/2018 01/2019
Compass Risk Management Indianapolis IN 01/2019 02/2020
American Funds Carmel IN 02/2020 01/2021
Capital Group / Capital Client Group, Inc. Carmel IN 01/2021 Present
  • 12/2016 → 09/2018
    Morgan Stanley Wealth Management
    Lafayette, IN
  • 07/2016 → 12/2016
    Indiana Farm Bureau Insurance
    Lafayette, IN
  • 09/2018 → 01/2019
    Unemployed
    Indianapolis, IN
  • 01/2019 → 02/2020
    Compass Risk Management
    Indianapolis, IN
  • 02/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → Present
    Capital Group / Capital Client Group, Inc.
    Carmel, IN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-24
  • S66 Uniform Combined State Law Examination
    2017-02-24

View on SEC IAPD

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JAMES EDGAR BERLINER

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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