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Romolo Dominick Rottura

Capital Client Group, Inc.

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About Romolo Dominick Rottura

Romolo Rottura is an investment advisor representative with Capital Client Group, Inc. Romolo has been in the industry since 1991 and holds a Series 63, Series 65, and Series 7 licenses. Romolo Rottura previously worked at John Hancock Funds, LLC, Continental Broker-Dealer Corp., Garban Limited, Garban Securities, Inc., and Cantor Fitzgerald Securities Corp. Romolo is registered with the states of California, Delaware, New Jersey, and Pennsylvania.

Firm Information

Romolo Rottura 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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Romolo Rottura’s Registration & Firm History

CA

05/11/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MA

07/23/1997 - 05/09/2002

JOHN HANCOCK FUNDS, LLC (BOSTON MA)

NY

01/29/1997 - 05/08/1997

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

NY

08/14/1992 - 01/30/1995

GARBAN LIMITED (NEW YORK NY)

NJ

06/23/1992 - 07/24/1992

GARBAN SECURITIES, INC. (JERSEY CITY NJ)

NY

06/05/1989 - 05/27/1992

CANTOR FITZGERALD SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/10/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/13/2002

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/29/1990

Series 3 - National Commodity Futures Examination

BC

Issued 03/17/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Romolo Dominick Rottura.
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