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Thomas William Shanley

Capital Client Group, Inc.

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About Thomas William Shanley

Thomas Shanley is a financial professional with over 25 years of experience in the industry. He is currently registered with Capital Client Group, Inc. and is located in Los Angeles, California. Prior to that, Thomas worked for several other firms including National Financial Services LLC, Fidelity Investments Institutional Services Company, Inc., and Fidelity Brokerage Services LLC. Thomas is licensed in California and holds the Series 7, Series 24, Series 63 and SIE licenses.

Firm Information

Thomas Shanley 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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Thomas Shanley’s Registration & Firm History

CA

07/28/2014 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

RI

10/01/2013 - 04/03/2014

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

06/09/1997 - 04/03/2014

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

10/01/2013 - 04/02/2014

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

04/08/2009 - 01/15/2010

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

RI

04/02/2009 - 01/14/2010

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

11/14/1995 - 06/09/1997

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

NY

11/01/1994 - 06/27/1995

L.C. WEGARD & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/08/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas William Shanley.
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