WE
Wayne C. Ewan
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
Some features on this profile are disabled
CRD#: 3252902
WE
Professional summary
Wayne Conway Ewan is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Wayne has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
REAN LEARNING LLC POSITION: Partner NATURE: Kumon is an after-school academic enrichment program of math and reading. Students advance through the program at their own pace with an emphasis on individualized learning. Each child's progress is monitored to ensure comprehension before moving on to a new concept. With a strong foundation, critical thinking, and problem solving abilities, children will have the potential to achieve whatever he or she desires. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/06/2020 ADDRESS: Sandy Plains Marketplace, 3460 Sandy Plains Road NE, Suite 230, Marietta GA 30066, United States DESCRIPTION: I am a silent partner. My wife and I invested and helped to start up this business in 2019 and opened in June 2020. I have no daily responsibilities as our business partner is the lead.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Conway Ewan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne Conway Ewan'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
January 27, 2025 - 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
January 25, 2025 - 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
March 16, 2021 - January 23, 2025
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Marietta, GA
Past
September 27, 2017 - March 18, 2021
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
Marietta, GA
Past
July 3, 2013 - January 23, 2025
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
Past
October 11, 2010 - May 2, 2013
EDWARD JONES
RIA
CRD#: 250
BROOKLYN, NY
Past
September 27, 2010 - May 2, 2013
EDWARD JONES
BD
CRD#: 250
BROOKLYN, NY
Past
October 11, 2000 - October 4, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/25/2025)
RR
California(1/25/2025)
IAR
California(1/27/2025)
RR
Georgia(1/25/2025)
RR
North Carolina(1/25/2025)
RR
Tennessee(1/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/19/2000
Limited Representative-Equity Trader ExamSRO 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.
