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Luis Fernando Arocha

Capital Client Group, Inc.

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About Luis Fernando Arocha

Luis Fernando Arocha is a financial professional with over 20 years of experience in the financial services industry. Luis has held positions at several prominent firms, including JPMorgan Institutional Investments Inc. and Vanguard Marketing Corporation. Luis is currently registered with Capital Client Group, Inc., a firm that specializes in providing investment advisory services. Luis is licensed to provide investment advice in several states including California, Florida, New York, and Texas. Luis's areas of expertise include investment company products and variable contracts.

Firm Information

Luis Arocha 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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Luis Arocha’s Registration & Firm History

CA

07/11/2017 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

TX

01/03/2011 - 07/03/2017

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (HOUSTON TX)

FL

04/20/2010 - 01/03/2011

JPMORGAN DISTRIBUTION SERVICES, INC. (MIAMI FL)

FL

06/28/2007 - 01/04/2010

SKANDIA SECURITIES AMERICAS, INC. (MIAMI FL)

NC

09/21/2005 - 06/18/2007

EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)

PA

08/30/2001 - 09/06/2005

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 07/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/30/2017

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/2006

Series 7 - General Securities Representative Examination

BC

Issued 08/29/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Luis Fernando Arocha.
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