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John Robert Harley

Capital Client Group, Inc.

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About John Robert Harley

John Robert Harley is a financial advisor with Capital Client Group, Inc. John Robert Harley has been in the financial industry since November 3, 1995. John Robert Harley's office is located in Los Angeles, California and John Robert Harley is also registered in 17 states. John Robert Harley is a registered representative of INVESCO DISTRIBUTORS, INC. and BEAR, STEARNS & CO. INC. John Robert Harley has passed the Series 63, Series 66, Series 7, Series 24, and Series 51 exams. John Robert Harley's previous experience includes roles at OppenheimerFunds Distributor, Inc. and American Funds.

Firm Information

John Harley 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 Harley’s Registration & Firm History

CA

04/25/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

NY

01/04/2000 - 05/11/2012

INVESCO DISTRIBUTORS, INC. (PLANDOME NY)

NY

09/01/1999 - 01/06/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

10/04/1995 - 08/19/1999

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/04/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/12/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/06/2008

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 03/08/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/26/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Robert Harley.
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