Unclaimed
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.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
12/18/2020 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
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
Active
Inactive
F
FINRA
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