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James Joseph Sewell

Capital Client Group, Inc.

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About James Joseph Sewell

James Sewell is a financial advisor with over 20 years of experience in the industry. James is currently registered with Capital Client Group, Inc. Previously, James was registered with Edward Jones, BANC OF AMERICA INVESTMENT SERVICES, INC., and BA INVESTMENT SERVICES, INC. James has a strong background in both broker-dealer and investment advisor services. James holds the Series 6, 7, 24, 26, 63, and 65 licenses and the SIE exam certification. James has extensive experience in working with individuals and corporations. James is committed to providing his clients with personalized financial advice and guidance.

Firm Information

James Sewell 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 Sewell’s Registration & Firm History

CA

10/01/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MO

02/26/2002 - 02/10/2003

EDWARD JONES (ST. LOUIS MO)

MA

02/22/2002 - 03/07/2002

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

MO

02/26/1999 - 02/26/2002

EDWARD JONES (ST. LOUIS MO)

CA

07/15/1998 - 02/16/1999

BA INVESTMENT SERVICES, INC. (OAKLAND CA)

CA

12/18/1996 - 10/29/1997

BA INVESTMENT SERVICES, INC. (OAKLAND CA)

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Licenses & Designations

IA

Issued 09/30/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/11/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/07/2005

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/1999

Series 7 - General Securities Representative Examination

BC

Issued 12/17/1996

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 Joseph Sewell.
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