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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
IL RA APPROVED 2026-07-06
CA RA APPROVED 2020-06-23
  • IL RA
    APPROVED
    Since 2026-07-06
  • CA RA
    APPROVED
    Since 2020-06-23

Branch Locations

333 S. Hope St. 55Th Fl., Los Angeles, CA 90071 • UNITED STATES

Glen Ellyn, IL • 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 Los Angeles CA 07/2017 04/2022
University Of California, Berkeley Berkeley CA 08/2014 05/2017
Highmark Capital Management San Francisco CA 09/2015 06/2017
Capital Group - American Funds Distributors, Inc. Los Angeles CA 04/2022 10/2023
Capital Group - American Funds Distributors, Inc. Los Angeles CA 10/2023 03/2026
Capital Group/Capital Client Group, Inc. Los Angeles CA 03/2016 Present
  • 07/2017 → 04/2022
    American Funds
    Los Angeles, CA
  • 08/2014 → 05/2017
    University Of California, Berkeley
    Berkeley, CA
  • 09/2015 → 06/2017
    Highmark Capital Management
    San Francisco, CA
  • 04/2022 → 10/2023
    Capital Group - American Funds Distributors, Inc.
    Los Angeles, CA
  • 10/2023 → 03/2026
    Capital Group - American Funds Distributors, Inc.
    Los Angeles, CA
  • 03/2016 → Present
    Capital Group/Capital Client Group, Inc.
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-12-11
  • S63 Uniform Securities Agent State Law Examination
    2020-12-11
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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