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Kimberly Dawn Wood

Capital Client Group, Inc.

Los Angeles, CA

Los Angeles, CA

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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 2018-11-02
  • CA RA
    APPROVED
    Since 2018-11-02

Branch Locations

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

Los Angeles, CA • 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
Mercer Investments St. Louis MO 02/2009 06/2016
Unemployed St. Louis MO 06/2016 08/2016
Kennedy Capital Management St. Louis MO 08/2016 03/2018
Unemployed St. Louis MO 03/2018 10/2018
American Funds Los Angeles CA 10/2018 12/2024
Capital Group / Capital Client Group, Inc. Los Angeles CA 12/2024 Present
  • 02/2009 → 06/2016
    Mercer Investments
    St. Louis, MO
  • 06/2016 → 08/2016
    Unemployed
    St. Louis, MO
  • 08/2016 → 03/2018
    Kennedy Capital Management
    St. Louis, MO
  • 03/2018 → 10/2018
    Unemployed
    St. Louis, MO
  • 10/2018 → 12/2024
    American Funds
    Los Angeles, CA
  • 12/2024 → Present
    Capital Group / Capital Client Group, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-02-01
S65 Uniform Investment Adviser Law Examination 2017-06-14
  • S63 Uniform Securities Agent State Law Examination
    2020-02-01
  • S65 Uniform Investment Adviser Law Examination
    2017-06-14
Other Names
  • Kimberly Dawn Wengert
  • Kimberly Dawn Plummer
  • Kimberly D Wood

View on SEC IAPD

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Natalie Jeanne-Marie Glover
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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