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BD

Brooks H. Doggett

CAPITAL GROUP PRIVATE CLIENT SERVICES
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 2259066
BD

Professional summary

Brooks Hamilton Doggett is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in San Francisco, California.

Brooks is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brooks has worked at 5 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooks Hamilton Doggett's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 4, 2022 - Present

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

Office #1: Stuart Tower 1 Market St., Suite 1800, San Francisco, CA 94105
RIA
CRD#: 312837
San Francisco, CA
Past

July 7, 2011 - September 13, 2022

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 21, 2005 - July 5, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
SAN FRANCISCO, CA
Past

November 2, 2004 - June 23, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

October 3, 1997 - June 23, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 13, 1993 - September 21, 1994

KEMPER FINANCIAL SERVICES, INC.

BD
CRD#: 798

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".
CG
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA
Registered Investment Advisory firm - (5/20/2021 Approved)

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.

Highlighted states indicate IAR registrations

IAR
California
(11/4/2022)
IAR
Georgia
(12/22/2022)
IAR
Illinois
(11/4/2022)
IAR
Nevada
(11/21/2022)
IAR
New York
(11/4/2022)
IAR
Texas
(11/4/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/1997
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/30/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/21/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 10/8/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/8/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/27/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/14/2006
General Securities Sales Supervisor - Options Module Examination

Current Firm

CG
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA
Registered Investment Advisory firm - (5/20/2021 Approved)
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Contact information

Main Address
333 South Hope Street, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 486-9200
Established
Firm type
Fiscal year end
# of Employees
189

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CGPCS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts12,073
AUM (Assets Under Management)$ 42,713,999,861

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2024
Cover Page
Report
07/28/2023
Cover Page
Report
10/26/2022
Cover Page
Report

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.

Company Information

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837San Francisco, CA 94105

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