David E. Crowdus
Professional summary
David Erick Crowdus, CIMA®, who also goes by David E Crowdus, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Erick Crowdus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Erick Crowdus's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447September 14, 2007 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447June 9, 2006 - August 21, 2007
ALLIANCEBERNSTEIN L.P.
June 8, 2006 - August 21, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 1, 2001 - May 26, 2006
CITIGROUP GLOBAL MARKETS INC.
February 9, 2001 - May 26, 2006
CITIGROUP GLOBAL MARKETS INC.
December 13, 1995 - February 14, 2001
PRUDENTIAL EQUITY GROUP, 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
(5/3/2013)
(9/14/2007)
(7/13/2009)
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.
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