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Damian Francis Carroll

Capital Client Group, Inc.

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About Damian Francis Carroll

Damian Carroll is a financial professional with over 30 years of experience in the industry. Damian is currently registered with Capital Client Group, Inc. and has held previous registrations with several other firms including J.P. Morgan Advisors, Inc., J.P. Morgan Fund Distributors, Inc., Cowen & Co., TCC Securities Corporation and PLM Securities Corp. Damian holds the Series 63, 7, 22, 24 and SIE licenses. Damian is also a Chartered Financial Analyst (CFA). Damian's experience spans various financial services roles and includes working with clients in various industries.

Firm Information

Damian Carroll 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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Damian Carroll’s Registration & Firm History

CA

05/06/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

NY

06/15/2001 - 06/15/2001

J. P. MORGAN ADVISORS, INC. (NEW YORK NY)

MA

06/24/1998 - 06/15/2001

J.P. MORGAN FUND DISTRIBUTORS, INC. (BOSTON MA)

NY

01/27/1995 - 05/13/1998

COWEN & CO. (NEW YORK NY)

CA

05/28/1991 - 02/14/1995

TCC SECURITIES CORPORATION (SAN FRANCISCO CA)

CA

04/05/1988 - 05/03/1991

PLM SECURITIES CORP. (SAN FRANDISCO CA)

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Licenses & Designations

BC

Issued 04/08/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/20/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1995

Series 7 - General Securities Representative Examination

BC

Issued 03/22/1988

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Damian Francis Carroll.
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