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333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2016-02-04 |
Branch Locations
12711 N. Meridian Street, Carmel, IN 46032 • United States
Fishers, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Funds | Carmel | IN | 12/2015 | 04/2020 |
| American Funds | Carmel | IN | 04/2020 | 01/2021 |
| American Funds | Carmel | IN | 01/2021 | 04/2022 |
| Capital Group - American Funds Distributors, Inc. | Carmel | IN | 04/2022 | 09/2025 |
| Capital Group/Capital Client Group, Inc. | Carmel | IN | 09/2025 | Present |
1) D. SOPOCI INVESTMENTS, LLC DBA THE BREWSLINE POSITION: Owner NATURE: A tour guide and Marketing services for Craft Breweries INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 12/03/2014 ADDRESS: Fishers IN 46038, United States DESCRIPTION: Oversight and Financial Management of a non-investment related local family-owned craft brewery services business. 2) GROUNDSKEEPER FOR RIVER GLEN COUNTRY CLUB LOCATED AT 12010 CLUBHOUSE DR, FISHERS, IN 46038 AND WORK BETWEEN 3-6 HRS. PER WEEK OUTSIDE OF TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-27 |
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