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David Elwood Saunders

Capital Client Group, Inc.

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About David Elwood Saunders

David Elwood Saunders is a financial professional with over 17 years of experience in the industry. He has held previous roles with Wachovia Capital Markets, LLC, Stifel, Nicolaus & Company, Incorporated, and Legg Mason Wood Walker, Incorporated. David currently works with Capital Client Group, Inc., a firm based in Los Angeles, CA. He is licensed in 53 states and holds various licenses, including Series 7, Series 7TO, Series 63, and Series 65.

Firm Information

David Saunders 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 Saunders’s Registration & Firm History

CA

09/28/2022 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MD

05/22/2006 - 08/20/2007

WACHOVIA CAPITAL MARKETS, LLC (BALTIMORE MD)

MD

12/01/2005 - 05/08/2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)

MD

09/25/2001 - 12/01/2005

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 06/27/2023

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/26/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/07/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/09/2021

SIE - Securities Industry Essentials Examination

BC

Issued 02/25/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/24/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Elwood Saunders.
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