John Robert Harley, CIMA | Financial Professional | Los Angeles, California | CAPITAL CLIENT GROUP, INC.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures on record.

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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Credentials

CIMA®

Certified Investment Management Analyst

Years of Experience

31 years registered in the securities industry

Current & Past Employments

Current

CAPITAL CLIENT GROUP, INC.Current·CRD# 6247

RIA

BD

1. 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-14472. 390 Plandome Rd., Suite 209, Manhasset, NY 11030

April 25, 2013 - Present

CAPITAL CLIENT GROUP, INC.Current·CRD# 6247

RIA

BD

1. 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-14472. 390 Plandome Rd., Suite 209, Manhasset, NY 11030

May 31, 2012 - Present

Past

INVESCO ADVISERS, INC.Past·CRD# 105360

RIA

Atlanta, GA

January 1, 2010 - May 11, 2012

INVESCO DISTRIBUTORS, INC.Past·CRD# 7369

BD

Plandome, NY

January 4, 2000 - May 11, 2012

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.Past·CRD# 109264

RIA

Houston, TX

June 7, 2002 - January 1, 2010

J.P. MORGAN SECURITIES LLCPast·CRD# 79

BD

New York, NY

September 1, 1999 - January 6, 2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC.Past·CRD# 7834

BD

New York, NY

October 4, 1995 - August 19, 1999

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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)

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

925

SEC notice filing (49 States and Territories)

Registered to provide investment advisory services in 49 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 49 US states and territories.

Documents

Latest Form ADV

Part 2 Brochures

AFD FORM ADV PART 2A (9/25/2026)

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1) LONG RIDGE GROUP LLC IN HAMPTON BAYS, NY. PERSONAL VACATION HOME, NOT EXPECTING RENTALS BUT MAY IN THE FUTURE. LLC WAS FILED IN APRIL 2012 PRIOR TO JOINING CURRENT EMPLOYER. ZERO HRS/MONTH AND NONE DURING SECURITIES TRADING HOURS. 2) Beginning Dec 2017, Co-Owner of Pentagon Partners, LLC in Nassau County, NY passively investing in privately held companies, which requires zero hours/month time commitment. 3) Name of Other Business: ACC Partners, LLC / Investment related? No / Address: NY 11030 / Nature of Business: Self-Directed IRA to invest in real estate / Position: Sole member-owner / Start Date: 05-16-2018 / Number of hours a month: None / Number of hours during securities trading hours: None

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

IAR

California
(4/25/2013)

RR

California
(5/30/2024)

RR

Connecticut
(5/31/2012)

RR

Delaware
(1/5/2022)

RR

District of Columbia
(5/31/2012)

RR

Florida
(1/24/2018)

RR

Georgia
(1/24/2018)

RR

Maryland
(5/31/2012)

RR

Massachusetts
(5/31/2012)

RR

Michigan
(1/24/2018)

RR

New Jersey
(5/31/2012)

RR

New York
(5/31/2012)

RR

North Carolina
(1/5/2022)

RR

Pennsylvania
(5/31/2012)

RR

Rhode Island
(5/31/2012)

RR

South Carolina
(1/5/2022)

RR

Virginia
(5/31/2012)

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.