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Mark Anthony Ferraro

Capital Client Group, Inc.

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About Mark Anthony Ferraro

Mark Anthony Ferraro is a financial professional with over 30 years of experience in the industry. Mark is currently registered with Capital Client Group, Inc., and has previously worked for several prominent financial institutions, including Fidelity Brokerage Services LLC, Fidelity Investments Institutional Services Company, Inc., State Street Research Investment Services, Inc., Signator Investors, Inc., and Putnam Mutual Funds Corp. Mark's expertise encompasses a wide range of financial services, including investment company products and variable contracts, general securities, and investment advisory. Mark holds multiple licenses and certifications, including Series 7, Series 6, Series 26, and Series 63.

Firm Information

Mark Ferraro 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 Ferraro’s Registration & Firm History

CA

01/23/2014 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

IL

01/03/2012 - 01/14/2014

FIDELITY BROKERAGE SERVICES LLC (CHICAGO IL)

RI

01/28/2002 - 01/03/2012

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

MA

02/07/2001 - 12/31/2001

STATE STREET RESEARCH INVESTMENT SERVICES, INC. (BOSTON MA)

MA

01/12/1999 - 01/05/2001

SIGNATOR INVESTORS, INC. (BOSTON MA)

MA

02/21/1992 - 12/15/1998

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

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Licenses & Designations

BC

Issued 10/10/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/04/2014

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/2002

Series 7 - General Securities Representative Examination

BC

Issued 02/20/1992

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 Anthony Ferraro.
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