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Gerard Michael Bockstie

Capital Client Group, Inc.

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About Gerard Michael Bockstie

Gerard Michael Bockstie is a financial professional with over two decades of experience in the financial services industry. Gerard has a strong background in securities and investment company products, having held various roles at reputable firms such as Legg Mason Wood Walker, Incorporated, Concord Brokerage Services, Inc., and DWS Scudder Distributors, Inc. Currently, Gerard is affiliated with Capital Client Group, Inc. as a registered representative. Gerard's expertise and experience enable him to provide comprehensive financial guidance and support to his clients.

Firm Information

Gerard Bockstie 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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Gerard Bockstie’s Registration & Firm History

CA

02/22/2007 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

IL

12/16/2004 - 01/18/2007

DWS SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)

MD

03/09/2000 - 11/29/2004

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

MA

10/01/1997 - 10/26/1998

CONCORD BROKERAGE SERVICES, INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 07/28/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/15/2024

Series 24 - General Securities Principal Examination

BC

Issued 06/22/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/26/2001

Series 7 - General Securities Representative Examination

BC

Issued 05/23/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gerard Michael Bockstie.
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