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Lori Lynn Guy

Capital Client Group, Inc.

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About Lori Lynn Guy

Lori Lynn Guy is an active investment advisor representative with Capital Client Group, Inc. Lori has been in the securities industry since August 16, 2000. Lori has licenses to operate in 13 states and has been with Capital Client Group, Inc. since June 11, 2013. Prior to working with Capital Client Group, Inc., Lori was employed with Wachovia Securities, LLC, Compass Brokerage, Inc. and Morgan Stanley DW Inc. Lori is a Series 7, Series 31, Series 63 and Series 65 licensed representative. Lori holds a SIE license and has a history of work with clients in Texas and California.

Firm Information

Lori Guy 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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Lori Guy’s Registration & Firm History

CA

06/11/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

TX

10/31/2007 - 06/25/2008

WACHOVIA SECURITIES, LLC (ADDISON TX)

TX

11/22/2002 - 10/29/2007

COMPASS BROKERAGE, INC. (HOUSTON TX)

NY

07/14/2000 - 11/20/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 12/04/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 07/13/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lori Lynn Guy.
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