JC
James G. Carville
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
Some features on this profile are disabled
CRD#: 2223696
JC
Professional summary
James Garfield Carville, who also goes by James Garfield Carville IV, Jim Carville, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Garfield Carville Iv | Jim Carville
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Garfield Carville's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Garfield Carville'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
June 20, 2016 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Current
June 20, 2016 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Past
October 16, 2012 - May 17, 2016
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
July 28, 2006 - May 17, 2016
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
July 28, 2006 - November 14, 2012
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
January 27, 1999 - June 28, 2006
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
SAN FRANCISCO, CA
Past
April 11, 1995 - December 4, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 8, 1992 - February 14, 1995
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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
Alabama(1/18/2018)
RR
Alaska(6/20/2016)
RR
Arizona(6/20/2016)
RR
Arkansas(1/18/2018)
RR
California(6/20/2016)
IAR
California(6/20/2016)
RR
Colorado(1/18/2018)
RR
Connecticut(1/18/2018)
RR
Delaware(1/18/2018)
RR
District of Columbia(1/18/2018)
RR
Florida(1/18/2018)
RR
Georgia(1/18/2018)
RR
Hawaii(6/20/2016)
RR
Idaho(6/20/2016)
RR
Illinois(1/18/2018)
RR
Indiana(1/18/2018)
RR
Iowa(1/18/2018)
RR
Kansas(1/18/2018)
RR
Kentucky(1/18/2018)
RR
Louisiana(1/18/2018)
RR
Maine(1/18/2018)
RR
Maryland(1/18/2018)
RR
Massachusetts(1/18/2018)
RR
Michigan(1/18/2018)
RR
Minnesota(1/18/2018)
RR
Mississippi(1/18/2018)
RR
Missouri(1/18/2018)
RR
Montana(1/18/2018)
RR
Nebraska(1/18/2018)
RR
Nevada(6/20/2016)
RR
New Hampshire(1/18/2018)
RR
New Jersey(1/18/2018)
RR
New Mexico(6/20/2016)
RR
New York(1/18/2018)
RR
North Carolina(1/18/2018)
RR
North Dakota(1/18/2018)
RR
Ohio(1/18/2018)
RR
Oklahoma(1/18/2018)
RR
Oregon(6/20/2016)
RR
Pennsylvania(1/18/2018)
RR
Puerto Rico(1/18/2018)
RR
Rhode Island(1/18/2018)
RR
South Carolina(1/18/2018)
RR
South Dakota(1/18/2018)
RR
Tennessee(1/18/2018)
RR
Texas(1/18/2018)
RR
Utah(6/20/2016)
RR
Vermont(1/18/2018)
RR
Virgin Islands(1/18/2018)
RR
Virginia(1/18/2018)
RR
Washington(6/20/2016)
RR
West Virginia(1/18/2018)
RR
Wisconsin(1/18/2018)
RR
Wyoming(1/18/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
