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Joseph Michael Fazio

Capital Client Group, Inc.

Los Angeles, CA

Cedarburg, WI

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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 2018-08-16
  • CA RA
    APPROVED
    Since 2018-08-16

Branch Locations

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

Cedarburg, WI • 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
American Funds Carmel IN 05/2016 08/2018
American Funds Los Angeles CA 08/2018 10/2020
American Funds Los Angeles CA 10/2020 04/2023
American Funds Los Angeles CA 04/2023 Present
  • 05/2016 → 08/2018
    American Funds
    Carmel, IN
  • 08/2018 → 10/2020
    American Funds
    Los Angeles, CA
  • 10/2020 → 04/2023
    American Funds
    Los Angeles, CA
  • 04/2023 → Present
    American Funds
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-31
S63 Uniform Securities Agent State Law Examination 2016-07-07
  • S65 Uniform Investment Adviser Law Examination
    2016-08-31
  • S63 Uniform Securities Agent State Law Examination
    2016-07-07
Other Names
  • Joey Michael Fazio
  • Joe Michael Fazio

View on SEC IAPD

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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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