Frederic J. Huber
Professional summary
Frederic Jon Huber, who also goes by Frederick Jon Huber, is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Frederic is registered as a RR (Registered Representative) and started their career in finance in 1999. Frederic has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederic Jon Huber's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2012 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447May 21, 2007 - February 6, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
October 19, 2006 - April 20, 2007
CARILLON FUND DISTRIBUTORS, INC.
November 2, 2005 - April 23, 2007
RAYMOND JAMES & ASSOCIATES, INC.
August 23, 2004 - July 6, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
July 29, 2002 - August 18, 2004
INVESMART ADVISORS INC
November 1, 2001 - August 17, 2004
INVESMART SECURITIES, LLC
October 1, 1999 - October 8, 2001
BNY MELLON SECURITIES CORPORATION
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
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(5/4/2012)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
(1/6/2022)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
