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Phillip Edward Haning

Capital Client Group, Inc.

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About Phillip Edward Haning

Phillip Edward Haning is a financial advisor registered with Capital Client Group, Inc. Phillip has been in the financial services industry since October 2002. Prior to joining Capital Client Group, Inc. in 2014, Phillip worked for FRANKLIN/TEMPLETON DISTRIBUTORS, INC., EQ FINANCIAL CONSULTANTS, INC., and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Phillip is licensed in California and Illinois and holds Series 6, 7, 26, 63 and 65 licenses.

Firm Information

Phillip Haning 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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Phillip Haning’s Registration & Firm History

CA

11/20/2014 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

CA

05/02/2003 - 11/03/2014

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)

NY

08/06/1996 - 03/03/1997

EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)

NY

08/06/1996 - 03/03/1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

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Licenses & Designations

IA

Issued 11/18/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/23/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/05/2014

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/2004

Series 7 - General Securities Representative Examination

BC

Issued 04/30/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Phillip Edward Haning.
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