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David Adam Merrill

Capital Client Group, Inc.

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About David Adam Merrill

David Merrill is a financial professional with over 30 years of experience in the industry. David is currently registered with Capital Client Group, Inc. as an Investment Advisor Representative. David has previously held positions at First Union Securities, Inc., First Union Capital Markets Corp., and Prudential Securities Incorporated.

Firm Information

David Merrill 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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David Merrill’s Registration & Firm History

CA

05/23/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MO

10/01/1999 - 03/27/2002

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

08/27/1999 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NY

07/08/1992 - 08/30/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 11/18/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/11/2020

Series 24 - General Securities Principal Examination

BC

Issued 09/03/2014

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 05/09/2005

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/09/1992

Series 3 - National Commodity Futures Examination

BC

Issued 07/07/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Adam Merrill.
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