Romolo D. Rottura
Professional summary
Romolo Dominick Rottura, who also goes by Ramolo Dominick Rottura, Rome Rottura, Romolo Domenic Rottura, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Romolo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Romolo has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Romolo Dominick Rottura's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Romolo Dominick Rottura's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447May 23, 2002 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447July 30, 2001 - May 3, 2002
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 30, 2001 - May 3, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
July 23, 1997 - May 9, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 29, 1997 - May 8, 1997
CONTINENTAL BROKER-DEALER CORP.
August 14, 1992 - January 30, 1995
ICAP SECURITIES USA LLC
June 23, 1992 - July 24, 1992
INTERCAPITAL SECURITIES LLC
June 5, 1989 - May 27, 1992
CANTOR FITZGERALD SECURITIES
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/11/2013)
(5/31/2024)
(5/23/2002)
(5/23/2002)
(12/5/2007)
Exams
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
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
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