Robert D. Vigneaux
Professional summary
Robert Daniel Vigneaux, who also goes by Bob VIgneaux III, Robert D Vigneaux, Robert Daniel Vigneaux III, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Daniel Vigneaux's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Daniel Vigneaux's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447October 4, 2012 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447January 4, 2010 - September 24, 2012
ALLSPRING FUNDS MANAGEMENT, LLC
January 4, 2010 - September 24, 2012
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 18, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
May 10, 2007 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 6, 2003 - April 9, 2007
MFS INSTITUTIONAL ADVISORS INC.
July 10, 2000 - April 9, 2007
MFS FUND DISTRIBUTORS, INC.
January 4, 1999 - June 22, 2000
NATIXIS DISTRIBUTION, LLC
November 21, 1991 - August 25, 1994
DEAM INVESTOR SERVICES, INC.
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
(4/25/2013)
(1/3/2022)
(1/3/2022)
(1/3/2022)
(4/4/2013)
(10/4/2012)
(4/4/2013)
(10/9/2012)
(1/3/2022)
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
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.
