KP
Keith A. Piken
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
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CRD#: 2576730
KP
Professional summary
Keith Alan Piken, who also goes by Keith A Piken, Keith Alan Piken, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Keith has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith A Piken | Keith Alan Piken
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.
oCompany: Capital Group Private Client Services, Inc. (CGPCS) oIs the business Investment Related: Yes oThe nature of the other business: Investment advisory services for high net-worth individuals and charitable organizations. CGPCS is an affiliated company. oPosition/Title: President of CGPCS oNumber of hours: 20-40 oResponsibilities: Work closely with CGPCS leadership to help ensure the organization is strategically aligned and resourced to support continued progress and growth. ?Company: American Funds Distributors, Inc. ("AFD") ?Is the business Investment Related: Yes ?The nature of the other business: The company distributes registered funds as well as private funds to institutional clients and prospects. It also distributes Luxembourg-domiciled funds that are managed by the company's affiliate and sold to investors outside the U.S. AFD is an affiliated company of Capital Group Private Client Services, Inc. ?Position/Title: Chief Operating Officer (COO) of AFD ?Number of hours: 120-140 ?Responsibilities: Work closely with AFD leadership to help ensure the organization is strategically aligned and resourced to support continued progress and growth.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Alan Piken's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Alan Piken'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
December 13, 2023 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Current
March 4, 2024 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447RIA
BD
CRD#: 6247
Los Angeles, CA
Past
July 1, 2021 - December 17, 2024
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
RIA
CRD#: 312837
LOS ANGELES, CA
Past
January 29, 2021 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
RIA
CRD#: 170017
Los Angeles, CA
Past
February 20, 2014 - January 4, 2021
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
LOS ANGELES, CA
Past
February 15, 2011 - January 4, 2021
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
October 23, 2009 - February 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
April 2, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 20, 2005 - October 1, 2008
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
October 13, 2004 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
December 10, 1997 - October 15, 2004
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
March 11, 1997 - December 16, 1997
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
SMITHFIELD, RI
Past
January 18, 1995 - March 11, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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.Highlighted states indicate IAR registrations
IAR
California(12/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
