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Jason Spencer Carlough

Capital Client Group, Inc.

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About Jason Spencer Carlough

Jason Carlough is a financial professional with over 20 years of experience in the industry. Currently, Jason is registered with Capital Client Group, Inc. Jason has previously worked for firms such as MML Distributors, LLC, MML Investors Services, LLC, American Funds Distributors, Inc., and Princor Financial Services Corporation. Jason is licensed in multiple states including California, Connecticut, Florida, Illinois, New Jersey, New York, and Pennsylvania. Jason holds the Series 6, 7, 26, and 63 licenses.

Firm Information

Jason Carlough 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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Jason Carlough’s Registration & Firm History

CA

02/03/2016 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

NY

05/01/2014 - 01/15/2016

MML DISTRIBUTORS, LLC (NEW YORK NY)

NY

06/17/2009 - 05/01/2014

MML INVESTORS SERVICES, LLC (NEW YORK NY)

CA

06/07/2007 - 05/26/2009

AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)

NY

12/11/2002 - 04/30/2007

PRINCOR FINANCIAL SERVICES CORPORATION (NEW YORK NY)

CT

10/03/2001 - 12/17/2002

PPI EMPLOYEE BENEFITS CORPORATION (MIDDLETOWN CT)

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Licenses & Designations

BC

Issued 12/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/03/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/2006

Series 7 - General Securities Representative Examination

BC

Issued 10/02/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jason Spencer Carlough.
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