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Andrew Zeth Bates

Capital Client Group, Inc.

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About Andrew Zeth Bates

Andrew Bates is a financial advisor registered with Capital Client Group, Inc. Andrew Bates is a Chartered Financial Analyst and holds Series 63, Series 7TO, and SIE licenses. Andrew Bates has been in the industry since June 22, 2020 and has registrations in 53 states.

Firm Information

Andrew Bates 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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Andrew Bates’s Registration & Firm History

CA

06/23/2020 - Present

Capital Client Group, Inc. (Los Angeles CA)

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Licenses & Designations

BC

Issued 12/11/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/21/2020

Series 7TO - General Securities Representative Examination

BC

Issued 08/19/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew Zeth Bates.
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