Duane R. Mattson
Professional summary
Duane Robert Mattson, who also goes by Duane Mattson, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Marcos, Texas.
Duane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Duane has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Duane Robert Mattson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duane Robert Mattson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321August 15, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321January 7, 2021 - July 7, 2022
LION STREET ADVISORS, LLC
January 4, 2021 - July 7, 2022
LION STREET FINANCIAL, LLC
October 16, 2018 - October 30, 2020
PIMCO INVESTMENTS LLC
May 17, 2012 - October 10, 2018
DIMENSIONAL FUND ADVISORS LP
May 17, 2012 - October 10, 2018
DFA SECURITIES LLC
December 5, 2011 - May 15, 2012
AFAM CAPITAL, INC.
December 5, 2011 - April 30, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 7, 2010 - November 30, 2011
QUASAR DISTRIBUTORS, LLC
September 17, 2008 - November 18, 2009
VICTORY CAPITAL MANAGEMENT INC.
July 17, 2008 - August 4, 2009
VICTORY CAPITAL SERVICES, INC.
October 26, 2004 - April 17, 2008
KESTRA INVESTMENT SERVICES, LLC
October 26, 2004 - April 17, 2008
KESTRA INVESTMENT SERVICES, LLC
March 22, 2004 - August 25, 2004
CHASE INVESTMENT SERVICES CORP.
March 22, 2004 - August 25, 2004
CHASE INVESTMENT SERVICES CORP.
June 23, 2003 - March 17, 2004
KESTRA INVESTMENT SERVICES, LLC
June 23, 2003 - March 17, 2004
KESTRA INVESTMENT SERVICES, LLC
July 1, 2002 - December 31, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
January 28, 1994 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
(8/15/2022)
(6/29/2023)
(8/15/2022)
(8/21/2022)
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.
