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Kelly Suzette Simon

Capital Client Group, Inc.

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About Kelly Suzette Simon

Kelly Suzette Simon is a registered investment advisor representative with Capital Client Group, Inc. Kelly has been in the financial industry since 2006. Kelly is registered with the state of California and has passed the Series 65 and 63 exams. Kelly is also registered with FINRA and has passed the Series 7 and SIE exams. Kelly previously worked at Capital Group Companies - American Funds, Sailingstone Capital Partners, and Albourne America LLC.

Firm Information

Kelly Simon 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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Kelly Simon’s Registration & Firm History

CA

12/18/2020 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 02/14/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/19/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/30/2021

Series 7TO - General Securities Representative Examination

BC

Issued 03/22/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kelly Suzette Simon.
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