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Steven Joseph Sperry

Capital Client Group, Inc.

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About Steven Joseph Sperry

Steven Joseph Sperry is an investment advisor representative with Capital Client Group, Inc., based in Los Angeles, CA. Steven has been in the industry since 2010, and is registered with the Financial Industry Regulatory Authority (FINRA) and several state securities authorities. Steven holds the Series 6, 7, 63, and 65 licenses, as well as the SIE.

Firm Information

Steven Sperry 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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Steven Sperry’s Registration & Firm History

CA

01/03/2017 - Present

Capital Client Group, Inc. (Los Angeles CA)

AZ

01/07/2010 - 02/11/2011

FIRST COMMAND FINANCIAL PLANNING, INC. (SCOTTSDALE AZ)

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Licenses & Designations

IA

Issued 05/04/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/11/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/15/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/05/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Joseph Sperry.
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