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Broderic Charles Schoen

Capital Client Group, Inc.

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About Broderic Charles Schoen

Broderic Schoen is a financial advisor registered with Capital Client Group, Inc. and has been active in the industry since December 2012. Broderic has a wide range of experience working with a number of firms including LPL Financial LLC, Cambridge Investment Research, Inc., Waddell & Reed, and Northwestern Mutual Investment Services, LLC. Broderic holds the Series 6, 7, 63, and 65 licenses and the SIE designation.

Firm Information

Broderic Schoen 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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Broderic Schoen’s Registration & Firm History

IN

06/07/2017 - Present

Capital Client Group, Inc. (CARMEL IN)

IN

08/24/2016 - 05/22/2017

LPL FINANCIAL LLC (GREENFIELD IN)

IN

07/18/2016 - 09/21/2016

CAMBRIDGE INVESTMENT RESEARCH, INC. (CARMEL IN)

IN

05/31/2013 - 07/22/2016

WADDELL & REED (INDIANAPOLIS IN)

IN

11/12/2012 - 05/23/2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MISHAWAKA IN)

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Licenses & Designations

IA

Issued 07/11/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/12/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2015

Series 7 - General Securities Representative Examination

BC

Issued 11/09/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Broderic Charles Schoen. Review regulatory record here.
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