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Nicholas James Hargreaves

Capital Client Group, Inc.

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About Nicholas James Hargreaves

Nicholas Hargreaves is a financial advisor with over 14 years of experience in the industry. Nicholas is currently registered with Capital Client Group, Inc. in Texas and holds Series 7, 24, 66 and SIE licenses. Nicholas has been a CERTIFIED FINANCIAL PLANNER™ professional since 2009. Nicholas has previously held positions at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, USAA FINANCIAL ADVISORS, INC. and NEW ENGLAND SECURITIES.

Firm Information

Nicholas Hargreaves 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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Nicholas Hargreaves’s Registration & Firm History

TX

07/05/2018 - Present

Capital Client Group, Inc. (SAN ANTONIO TX)

PA

11/27/2012 - 05/30/2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (PHILADELPHIA PA)

TX

06/14/2010 - 10/31/2012

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

PA

07/29/2009 - 05/05/2010

NEW ENGLAND SECURITIES (NEWTOWN SQUARE PA)

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Licenses & Designations

BOTH

Issued 08/25/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/19/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas James Hargreaves.
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