JG
Jeffrey F. Greenwalt
CAPITAL CLIENT GROUP
Whitestown, IN
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CRD#: 2286932
JG
Professional summary
Jeffrey Francis Greenwalt is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Whitestown, Indiana.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
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.
JEFFREY F GREENWALT POSITION: Individual author, content creator and proprietor NATURE: Writing and publishing of content related to career and life management focused on teenagers and young adults. This will be done through books, essays, articles, blogs, social media posts, You Tube and other digital and video media channels. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2024 ADDRESS: 6679 Shooting Star Dr., Whitestown IN 46075, United States DESCRIPTION: Writing, publishing, recording videos, posting on social media, possibly maintaining a website or blog.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Francis Greenwalt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Francis Greenwalt'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
July 7, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 12711 N. Meridian Street, Carmel, IN 46032RIA
BD
CRD#: 6247
Whitestown, IN
Current
July 8, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 12711 N. Meridian Street, Carmel, IN 46032RIA
BD
CRD#: 6247
Carmel, IN
Past
August 8, 2013 - June 30, 2021
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
June 14, 2011 - June 30, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Indianapolis, IN
Past
January 28, 2008 - April 11, 2011
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
Past
October 31, 2003 - November 21, 2003
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
July 23, 1998 - December 3, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 20, 1993 - April 6, 1998
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 23, 1992 - November 27, 1992
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
BD
CRD#: 8478
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
IAR
Indiana(7/7/2022)
RR
Indiana(7/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
