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Shawn Marie Osullivan

Capital Client Group, Inc.

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About Shawn Marie Osullivan

Shawn Marie Osullivan is a registered investment advisor representative with Capital Client Group, Inc. and has been in the industry since 1998. Shawn Marie Osullivan is also registered in Michigan and Ohio. Shawn Marie Osullivan has passed Series 6, 7, 26, 63 and 65 exams and the SIE exam. Shawn Marie Osullivan was previously registered with FRANKLIN/TEMPLETON DISTRIBUTORS, INC. and PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP.

Firm Information

Shawn Osullivan 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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Shawn Osullivan’s Registration & Firm History

CA

08/28/2013 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

CA

10/20/2005 - 03/26/2008

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (BEVERLY HILLS CA)

MA

03/18/1998 - 10/18/2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

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Licenses & Designations

IA

Issued 08/27/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/09/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/19/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/2000

Series 7 - General Securities Representative Examination

BC

Issued 03/17/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shawn Marie Osullivan.
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