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Troy Bartholomew Tipton

Capital Client Group, Inc.

Carmel, IN

Anderson, IN

CRD 3219481

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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
IN RA APPROVED 2013-06-17
  • IN RA
    APPROVED
    Since 2013-06-17

Branch Locations

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

Anderson, 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
American Funds Carmel IN 04/2020 01/2021
American Funds Carmel IN 01/2021 12/2022
Capital Group - American Funds Distributors, Inc. Carmel IN 12/2022 05/2024
Capital Group - American Funds Distributors, Inc. Carmel IN 05/2024 Present
American Funds Carmel IN 12/2004 04/2020
  • 04/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → 12/2022
    American Funds
    Carmel, IN
  • 12/2022 → 05/2024
    Capital Group - American Funds Distributors, Inc.
    Carmel, IN
  • 05/2024 → Present
    Capital Group - American Funds Distributors, Inc.
    Carmel, IN
  • 12/2004 → 04/2020
    American Funds
    Carmel, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-06-14
S63 Uniform Securities Agent State Law Examination 2000-01-28
  • S65 Uniform Investment Adviser Law Examination
    2013-06-14
  • S63 Uniform Securities Agent State Law Examination
    2000-01-28
Other Names
  • Troy B Tipton

View on SEC IAPD

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