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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 2021-06-07
  • CA RA
    APPROVED
    Since 2021-06-07

Branch Locations

Franklin, TN • United States

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • 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
Jpmorgan Westerville OH 05/2015 07/2017
American Funds Carmel IN 08/2017 01/2020
Jpmorgan Westerville OH 05/2015 10/2016
American Funds Los Angeles CA 01/2020 01/2022
American Funds Los Angeles CA 01/2022 Present
  • 05/2015 → 07/2017
    Jpmorgan
    Westerville, OH
  • 08/2017 → 01/2020
    American Funds
    Carmel, IN
  • 05/2015 → 10/2016
    Jpmorgan
    Westerville, OH
  • 01/2020 → 01/2022
    American Funds
    Los Angeles, CA
  • 01/2022 → Present
    American Funds
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-06-03
  • S63 Uniform Securities Agent State Law Examination
    2015-06-03
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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