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John Patrick Keating

Capital Client Group, Inc.

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About John Patrick Keating

John Keating is a financial professional with over 30 years of experience in the financial services industry. John has held various roles throughout their career, including positions at Putnam Mutual Funds Corp. and First Investors Corporation. John's experience includes providing financial advice to individuals and businesses. John currently works at Capital Client Group, Inc. as a Registered Representative and Investment Advisor Representative. John is registered with the state of California as an Investment Advisor Representative.

Firm Information

John Keating 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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John Keating’s Registration & Firm History

CA

06/14/2013 - Present

Capital Client Group, Inc. (Los Angeles CA)

MA

10/06/1993 - 03/15/1998

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

MA

04/02/1990 - 08/02/1993

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

NJ

11/30/1989 - 04/02/1990

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

IA

Issued 06/13/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/26/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/20/2021

Series 24 - General Securities Principal Examination

BC

Issued 05/04/2000

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 11/05/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/28/1989

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Patrick Keating.
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