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Cynthia Marie Thompson

Capital Client Group, Inc.

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About Cynthia Marie Thompson

Cynthia Marie Thompson is an investment advisor representative with Capital Client Group, Inc., a firm headquartered in Los Angeles, California. Cynthia has been in the securities industry since 2001. Cynthia holds a Series 63, Series 24, Series 26, Series 7TO, SIE, and Series 82 license. Cynthia is also a Certified Financial Planner and a Chartered Financial Analyst. Capital Client Group, Inc. is registered with the Securities and Exchange Commission (SEC) and is also a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

Cynthia Thompson 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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Cynthia Thompson’s Registration & Firm History

CA

04/25/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 07/21/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/27/2023

Series 24 - General Securities Principal Examination

BC

Issued 07/28/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 04/14/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2012

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 07/21/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Cynthia Marie Thompson.
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