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James Douglas Carter

Capital Client Group, Inc.

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About James Douglas Carter

James Douglas Carter is an investment advisor representative registered with Capital Client Group, Inc.. James Carter has been in the financial services industry since February 5, 1996. Capital Client Group, Inc. is headquartered in Los Angeles, CA. James Douglas Carter has passed several exams including the Series 63, Series 65, Series 6, Series 7TO, and Series 26. James Douglas Carter has been registered with the state of California since July 26, 2013, and is currently active in Indiana, Kentucky, Michigan, North Carolina, Ohio, and Tennessee. James Douglas Carter is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).

Firm Information

James Carter 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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James Carter’s Registration & Firm History

CA

07/26/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

NJ

09/05/1995 - 02/25/1997

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 07/26/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/06/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/02/2021

Series 24 - General Securities Principal Examination

BC

Issued 12/29/2004

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 11/14/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/02/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Douglas Carter.
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