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Sam Salim Gumma

Capital Client Group, Inc.

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About Sam Salim Gumma

Sam Salim Gumma is an investment advisor representative with Capital Client Group, Inc.. Sam has been in the securities industry since November 6, 1997. Sam is registered with FINRA as a general securities representative and investment advisor representative in California and Michigan. Sam has experience with a variety of financial products and services, including investment advisory services. Sam also has experience with a variety of client types, including individuals, corporations, and institutions.

Firm Information

Sam Gumma 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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Sam Gumma’s Registration & Firm History

CA

04/22/2014 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

MA

02/08/2007 - 04/04/2014

JOHN HANCOCK FUNDS, LLC (BOSTON MA)

ME

02/16/2006 - 02/07/2007

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

ME

05/11/2000 - 01/19/2006

FUNDS DISTRIBUTOR, INC. (PORTLAND ME)

FL

07/22/1999 - 05/03/2000

LPM INVESTMENT SERVICES, INC (PALM BEACH FL)

NA

08/21/1997 - 04/06/1998

STANDARD BROKERAGE SERVICES, INC.

MI

11/08/1994 - 01/17/1996

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BOTH

Issued 05/04/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/31/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/16/2015

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/14/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sam Salim Gumma.
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