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Mark David Thompson

Capital Client Group, Inc.

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About Mark David Thompson

Mark David Thompson is a registered investment advisor representative with Capital Client Group, Inc. Mark has been in the financial industry since 2012. Mark has passed both the Series 63 and the Series 65 exams and is also registered in several states as a broker-dealer. Mark is currently registered in Louisiana, North Carolina, South Carolina, and Texas. Mark is also registered as an investment adviser representative in Texas.

Firm Information

Mark Thompson 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 Thompson’s Registration & Firm History

TX

08/16/2013 - Present

Capital Client Group, Inc. (SAN ANTONIO TX)

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Licenses & Designations

IA

Issued 08/16/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/03/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/20/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/12/2012

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 David Thompson.
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