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Mark Allen Dence

Capital Client Group, Inc.

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About Mark Allen Dence

Mark Allen Dence is a financial advisor with over 20 years of experience in the industry. Mark is currently registered with Capital Client Group, Inc. and is also registered in 49 states. Before joining Capital Client Group, Inc., Mark has worked for several other firms including Columbia Management Investment Distributors, Inc., Columbia Management Distributors, Inc., Putnam Retail Management Limited Partnership, Lincoln Financial Distributors, Inc. and John Hancock Funds, Inc. Mark has passed several securities exams, including the Series 6, 7, 24 and 66 exams. Mark specializes in recommending Capital Client Group, Inc. as an investment advisor of separate managed account assets.

Firm Information

Mark Dence 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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Mark Dence’s Registration & Firm History

CA

06/05/2014 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MA

05/01/2010 - 05/19/2014

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

10/04/2004 - 05/01/2010

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

11/07/2003 - 09/27/2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

PA

10/31/2001 - 10/13/2003

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

MA

04/15/1998 - 03/01/2001

JOHN HANCOCK FUNDS, INC. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 06/28/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/13/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/23/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/18/2000

Series 7 - General Securities Representative Examination

BC

Issued 04/13/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Allen Dence.
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