DS
Darryl F. Sopoci
CAPITAL CLIENT GROUP
Fishers, IN
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CRD#: 1578942
DS
Professional summary
Darryl Frank Sopoci, who also goes by Darryl Sopoci, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Fishers, Indiana.
Darryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Darryl has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darryl Sopoci
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) D. SOPOCI INVESTMENTS, LLC DBA THE BREWSLINE POSITION: Owner NATURE: A tour guide and Marketing services for Craft Breweries INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 12/03/2014 ADDRESS: 8328 Kelsey Lane, Fishers IN 46038, United States DESCRIPTION: Oversight and Financial Management of a non-investment related local family-owned craft brewery services business. 2) GROUNDSKEEPER FOR RIVER GLEN COUNTRY CLUB LOCATED AT 12010 CLUBHOUSE DR, FISHERS, IN 46038 AND WORK BETWEEN 3-6 HRS. PER WEEK OUTSIDE OF TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Darryl Frank Sopoci's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darryl Frank Sopoci's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 4, 2016 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 12711 N. Meridian Street, Carmel, IN 46032RIA
BD
CRD#: 6247
Fishers, IN
Current
December 3, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 12711 N. Meridian Street, Carmel, IN 46032RIA
BD
CRD#: 6247
Carmel, IN
Past
September 19, 2011 - June 23, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
INDIANAPOLIS, IN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(11/23/2022)
RR
Illinois(3/28/2022)
RR
Indiana(12/3/2014)
IAR
Indiana(2/4/2016)
RR
Michigan(2/27/2020)
RR
Nevada(9/4/2024)
RR
Ohio(1/10/2021)
RR
Pennsylvania(9/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406
Mailing Address
333 S. Hope St. 55th Fl., Los Angeles, CA 90071
Phone number
(213) 486-9200
Established
California since 05/09/1972
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
911
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
