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Stephen Lee Caruthers

Capital Client Group, Inc.

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About Stephen Lee Caruthers

Stephen Caruthers is a financial advisor with over 20 years of experience in the industry. Stephen currently works with Capital Client Group, Inc. Stephen provides investment advice for individual and institutional clients, including high-net-worth individuals and corporations. Stephen is also a Chartered Financial Analyst (CFA).

Firm Information

Stephen Caruthers 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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Stephen Caruthers’s Registration & Firm History

CA

04/25/2013 - Present

Capital Client Group, Inc. (IRVINE CA)

NY

12/12/2003 - 05/23/2005

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)

MO

05/30/2000 - 12/12/2003

AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)

MO

02/27/1996 - 12/10/1996

TWENTIETH CENTURY SECURITIES, INC. (KANSAS CITY MO)

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Licenses & Designations

BC

Issued 04/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/22/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/2004

Series 7 - General Securities Representative Examination

BC

Issued 04/14/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Lee Caruthers.
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