Alan M. Heaton

CAPITAL CLIENT GROUP

Los Angeles, CA 90071-1447

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CRD#: 2480468

Professional summary

Alan Maynard Heaton, who also goes by Alan M Heaton, Alan Heaton, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan M Heaton | Alan Heaton

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 Alan Maynard Heaton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alan Maynard Heaton'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®

None

Experience

Current

June 4, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

CRD#: 6247

Los Angeles, CA

Current

September 7, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

CRD#: 6247

Los Angeles, CA

Past

April 2, 2007 - August 7, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN DIEGO, CA

Past

April 2, 2007 - August 7, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN DIEGO, CA

Past

January 5, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

January 5, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SAN DIEGO, CA

Past

September 27, 2005 - June 5, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LA JOLLA, CA

Past

February 24, 2004 - June 5, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 27, 1997 - July 8, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 8, 1994 - May 21, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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)

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.

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

Alabama
(10/7/2019)

Alaska
(10/7/2019)

Arizona
(10/7/2019)

Arkansas
(10/7/2019)

IAR

California
(6/4/2018)

California
(3/1/2019)

Colorado
(10/7/2019)

Connecticut
(10/7/2019)

Delaware
(10/7/2019)

District of Columbia
(10/7/2019)

Florida
(10/7/2019)

Georgia
(10/7/2019)

Hawaii
(10/7/2019)

Idaho
(10/7/2019)

Illinois
(10/7/2019)

Indiana
(10/7/2019)

Iowa
(10/7/2019)

Kansas
(10/7/2019)

Kentucky
(10/7/2019)

Louisiana
(10/7/2019)

Maine
(10/7/2019)

Maryland
(10/7/2019)

Massachusetts
(4/29/2019)

Michigan
(10/7/2019)

Minnesota
(10/7/2019)

Mississippi
(10/7/2019)

Missouri
(10/7/2019)

Montana
(10/7/2019)

Nebraska
(10/7/2019)

Nevada
(10/7/2019)

New Hampshire
(10/7/2019)

New Jersey
(10/7/2019)

New Mexico
(10/7/2019)

New York
(10/7/2019)

North Carolina
(10/7/2019)

North Dakota
(10/7/2019)

Ohio
(10/7/2019)

Oklahoma
(10/7/2019)

Oregon
(10/7/2019)

Pennsylvania
(10/7/2019)

Puerto Rico
(10/7/2019)

Rhode Island
(10/7/2019)

South Carolina
(10/7/2019)

South Dakota
(10/7/2019)

Tennessee
(10/7/2019)

Texas
(10/7/2019)

Utah
(10/7/2019)

Vermont
(10/7/2019)

Virgin Islands
(10/7/2019)

Virginia
(10/7/2019)

Washington
(10/7/2019)

West Virginia
(10/7/2019)

Wisconsin
(10/7/2019)

Wyoming
(10/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/1/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/7/2018

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 12/18/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/21/1999

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

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)

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)

Documents

Latest Form ADV

Part 2 Brochures

AFD FORM ADV PART 2A (9/26/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Alan M. Heaton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Maynard Heaton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alan Maynard Heaton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2019

Series 65

Date: 9/26/2005

Series 7TO

Date: 11/21/2023

SIE

Date: 10/1/2018

Series 6

Date: 9/7/2018

Series 31

Date: 12/18/1997

Series 7

Date: 6/7/1994

Series 24

Date: 5/1/2024

Series 10

Date: 1/7/2000

Series 9

Date: 12/21/1999

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

CAPITAL CLIENT GROUP, INC.

TRUST BUT VERIFY

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