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James Gregory Garrett

Capital Client Group, Inc.

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About James Gregory Garrett

James Garrett is a financial advisor with over 20 years of experience in the industry. James has been registered with Capital Client Group, Inc. since August 16, 2024. Prior to that, James was registered with Scudder Investor Services, Inc. from December 7, 1995 to February 14, 2002. James is a Chartered Financial Analyst and holds the Series 6, 7, 63, 65, 7TO, 82, and SIE licenses. James is registered to provide investment advisory services in 54 states and the District of Columbia. James is also registered to provide broker-dealer services in 53 states and the District of Columbia.

Firm Information

James Garrett 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 Garrett’s Registration & Firm History

CT

08/16/2024 - Present

Capital Client Group, Inc. (New Canaan CT)

NY

12/07/1995 - 02/14/2002

SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/24/2009

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/10/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/04/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/18/2010

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 09/14/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 12/05/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Gregory Garrett.
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