Kevin C. Easley
Professional summary
Kevin Christopher Easley, who also goes by Kevin Easley, is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Christopher Easley's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2012 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447January 1, 2009 - April 19, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
April 5, 2004 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
February 5, 2003 - March 25, 2004
PRINCIPAL SECURITIES, INC.
September 4, 2001 - January 7, 2003
PARK AVENUE SECURITIES LLC
October 18, 2000 - May 31, 2001
ONE ORCHARD EQUITIES, INC.
July 29, 1998 - October 5, 2000
NEW ENGLAND SECURITIES
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
(4/1/2025)
(5/14/2012)
(1/4/2022)
(4/1/2025)
(1/4/2022)
(1/4/2022)
(1/4/2022)
(1/2/2024)
Exams
Series 7TO
Date: 6/21/2022
General Securities Representative ExaminationFINRA
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.
