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Riley Otho Etheridge

Capital Client Group, Inc.

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About Riley Otho Etheridge

Riley Otho Etheridge is a financial advisor with over 30 years of experience in the industry. Riley has been registered with Capital Client Group, Inc. since 2018 and previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from 1984 to 2017. Riley has a diverse background in the financial industry and holds a variety of licenses and certifications, including the Series 3, 7, 9, 10, 24, 31, and 63 licenses. Riley is also a Certified Financial Planner.

Firm Information

Riley Etheridge 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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Riley Etheridge’s Registration & Firm History

CA

04/06/2018 - Present

Capital Client Group, Inc. (Los Angeles CA)

NY

10/26/1984 - 04/04/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 11/25/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/16/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/22/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/06/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/15/2009

Series 3 - National Commodity Futures Examination

BC

Issued 10/04/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 10/20/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Riley Otho Etheridge. Review regulatory record here.
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