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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 2018-10-24
  • IN RA
    APPROVED
    Since 2018-10-24

Branch Locations

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

Carmel , 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
Massmutual Life Insurance Company Indianapolis IN 04/2014 02/2017
American Funds Carmel IN 02/2017 04/2020
Westpoint Financial Group Indianapolis IN 04/2014 02/2017
American Funds Carmel IN 04/2020 01/2021
American Funds Carmel IN 01/2021 03/2026
Capital Client Group/Capital Client Group, Inc. Carmel IN 03/2026 Present
  • 04/2014 → 02/2017
    Massmutual Life Insurance Company
    Indianapolis, IN
  • 02/2017 → 04/2020
    American Funds
    Carmel, IN
  • 04/2014 → 02/2017
    Westpoint Financial Group
    Indianapolis, IN
  • 04/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → 03/2026
    American Funds
    Carmel, IN
  • 03/2026 → Present
    Capital Client Group/Capital Client Group, Inc.
    Carmel, IN
Other Businesses

INDIANA BALL POSITION: Director of Operations NATURE: This will be a local Youth Basketball League (grades 3-6th), consisting of local school based travel teams, with games played on Sunday's. League will run Nov-March. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2022 ADDRESS: Fishers IN 46038, United States DESCRIPTION: I will be working with 2-3 other people. My role, as Director of Operations will be handling administration, which includes paperwork, scheduling games, setting up courts, and clean up afterwards. Games are on Sunday's. Most weekends will be 3-4 hours of work, nothing during weekly business hours. I will potentially have a small ownership stake which we are still determining. It would be between 20-33%.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-24
S63 Uniform Securities Agent State Law Examination 2015-09-11
  • S65 Uniform Investment Adviser Law Examination
    2018-10-24
  • S63 Uniform Securities Agent State Law Examination
    2015-09-11
Other Names
  • Keenan Dean
  • Dean Keenan

View on SEC IAPD

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