Max J. Mcquiston
Professional summary
Max James Mcquiston, CFP®, CIMA® is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Max has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Max James Mcquiston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Max James Mcquiston's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447February 26, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447August 17, 2010 - February 14, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
August 13, 2007 - July 22, 2010
THE KARRAS COMPANY, INC.
June 26, 2007 - August 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 2007 - July 9, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 21, 2005 - May 10, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
May 4, 2004 - March 10, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 30, 1997 - May 28, 2004
STRATEGIC ADVISERS LLC
September 9, 1993 - May 28, 2004
FIDELITY BROKERAGE SERVICES LLC
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
(2/26/2014)
(9/1/2015)
(8/1/2022)
(8/1/2022)
(8/1/2022)
(8/1/2022)
(8/1/2022)
(2/26/2014)
(8/1/2022)
Exams
Series 8
Date: 7/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
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