Dion T. Angelopoulos

CAPITAL CLIENT GROUP

Irvine, CA 92618

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CRD#: 3109517

Professional summary

Dion Theodore Angelopoulos, who also goes by Dion Argelopoulos, is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Irvine, California.

Dion is registered as a RR (Registered Representative) and started their career in finance in 1998. Dion has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 51, Series 14, Series 24, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dion Argelopoulos

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) - BD

Click below to view Dion Theodore Angelopoulos'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

May 12, 2004 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 6455 Irvine Center Drive, Irvine, CA 92618

RIA

CRD#: 6247

Irvine, CA

Past

April 26, 2002 - May 3, 2004

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

LOS ANGELES, CA

Past

April 23, 2002 - April 29, 2004

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

October 21, 1999 - April 22, 2002

DREYFUS BROKERAGE SERVICES, INC.

CRD#: 7289

LOS ANGELES, CA

Past

November 17, 1998 - September 22, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

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

California
(5/12/2004)

New York
(5/30/2023)

Texas
(5/30/2023)

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.

Exams

State Security Law Exam

Series 63

Date: 12/17/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/15/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 8/10/1998

National Commodity Futures Examination

Principal/Supervisory Exam

Series 51

Date: 6/21/2012

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 8/20/2001

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/23/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 12/12/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/28/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 7/10/2000

Registered Options Principal 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

Dion T. Angelopoulos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dion Theodore Angelopoulos's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

DREYFUS BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/1998

Series 65

Date: 12/15/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1998

Series 3

Date: 8/10/1998

Series 51

Date: 6/21/2012

Series 14

Date: 8/20/2001

Series 24

Date: 1/23/2001

Series 10

Date: 12/12/2000

Series 9

Date: 8/28/2000

Series 4

Date: 7/10/2000

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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