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Mark Richard Threlfall

Capital Client Group, Inc.

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About Mark Richard Threlfall

Mark Richard Threlfall is a registered investment advisor representative at Capital Client Group, Inc. Mark is a veteran in the industry, having started in 1995. Mark is licensed in California, Florida, Pennsylvania, and South Carolina. Mark has experience in the securities industry and has passed several industry exams.

Firm Information

Mark Threlfall 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 Threlfall’s Registration & Firm History

CA

05/03/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

PA

10/18/1995 - 11/29/2007

CITIGROUP GLOBAL MARKETS INC. (WEST CONSHOHOCKEN PA)

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Licenses & Designations

IA

Issued 11/03/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/26/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/23/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Mark Richard Threlfall. Review regulatory record here.
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