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Peter Kent Maddox

Capital Client Group, Inc.

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About Peter Kent Maddox

Peter Maddox is a financial advisor registered with Capital Client Group, Inc. and has been in the industry since 1995. The advisor is currently registered with the state of California as both a broker-dealer and investment advisor. Peter has also worked with firms such as OppenheimerFunds Distributor, Inc., Lord Abbett Distributor LLC, MFS Fund Distributors, Inc., and A I M Distributors, Inc. The advisor holds the Series 6, 7, 63, and 65 licenses. In addition to the advisor's roles at Capital Client Group, Inc. and other firms, Peter is also a Limited Partner in RP Venture, an investment partnership focusing on oil and gas investments.

Firm Information

Peter Maddox 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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Peter Maddox’s Registration & Firm History

CA

10/09/2018 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

CO

08/09/2006 - 09/25/2018

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)

NJ

05/07/2002 - 07/13/2006

LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)

MA

05/01/1998 - 02/21/2002

MFS FUND DISTRIBUTORS, INC. (BOSTON MA)

TX

08/24/1995 - 04/23/1998

A I M DISTRIBUTORS, INC. (HOUSTON TX)

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Licenses & Designations

IA

Issued 04/15/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/10/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/06/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/23/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter Kent Maddox.
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