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LH

Louie Ho

CAPITAL CLIENT GROUP

Los Angeles, CA 90071-1447

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CRD#: 4042811

Professional summary

Louie Ho is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.

Louie is registered as a RR (Registered Representative) and started their career in finance in 1999. Louie has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louie Ho'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

November 1, 2024 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

BD

CRD#: 6247

Los Angeles, CA

Past

March 2, 2023 - October 15, 2024

SORRENTO PACIFIC FINANCIAL, LLC

BD

CRD#: 127787

SAN DIEGO, CA

Past

March 2, 2023 - October 15, 2024

SCF SECURITIES, INC.

BD

CRD#: 47275

SAN DIEGO, CA

Past

March 2, 2023 - October 15, 2024

NEXT FINANCIAL GROUP, INC.

BD

CRD#: 46214

HOUSTON, TX

Past

March 2, 2023 - October 15, 2024

CUSO FINANCIAL SERVICES, L.P.

BD

CRD#: 42132

SAN DIEGO, CA

Past

March 2, 2023 - October 15, 2024

CADARET, GRANT & CO., INC.

BD

CRD#: 10641

SYRACUSE, NY

Past

August 24, 2012 - October 15, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

BD

CRD#: 39262

Pasadena, CA

Past

April 22, 2010 - August 30, 2012

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

EL SEGUNDO, CA

Past

December 22, 2000 - May 6, 2009

WAMU INVESTMENTS, INC.

BD

CRD#: 599

IRVINE, CA

Past

December 7, 1999 - January 2, 2001

SIGNATOR INVESTORS, INC.

BD

CRD#: 468

BOSTON, MA

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.

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.

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

California
(11/1/2024)

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

RR

Series 63

Date: 12/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 11/9/2000

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 12/1/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 11/10/2008

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

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)

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.

Company Information

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

CRD#: 6247Los Angeles, CA 90071-1447

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