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Alan John Dumas

Capital Client Group, Inc.

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About Alan John Dumas

Alan John Dumas is a financial professional with over 25 years of experience in the industry. Alan is currently registered with Capital Client Group, Inc. where Alan has been employed since June 2012. Previously, Alan was employed by Putnam Retail Management Limited Partnership, Fidelity Investments Institutional Services Company, Inc., and Princor Financial Services Corporation. Alan has passed a number of industry exams including the Series 6, Series 7, Series 26, and the SIE. Alan is currently registered in California, Louisiana, Michigan, Mississippi, and Texas.

Firm Information

Alan Dumas is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

As agreed upon in a manner that covers registrant's costs

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Alan Dumas’s Registration & Firm History

CA

06/08/2012 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MA

11/18/2009 - 05/29/2012

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

RI

06/25/2004 - 11/03/2009

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

IA

05/16/1998 - 04/26/2004

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

RI

03/29/1996 - 05/04/1998

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 04/16/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/03/2012

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/29/1997

Series 7 - General Securities Representative Examination

BC

Issued 03/27/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alan John Dumas.
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