JM
Joseph M. Mulcahy
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
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CRD#: 4375789
JM
Professional summary
Joseph Morgan Mulcahy, AIF® is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 6 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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Morgan Mulcahy'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®
Experience
Current
September 15, 2016 - 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
October 15, 2013 - June 2, 2016
FANTEX BROKERAGE SERVICES, LLC
BD
CRD#: 164783
SAN FRANCISCO, CA
Past
June 4, 2013 - November 11, 2013
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
April 9, 2001 - October 29, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
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.
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
Alaska(1/2/2020)
RR
Arizona(1/2/2020)
RR
California(1/2/2020)
RR
Colorado(1/2/2020)
RR
Hawaii(1/2/2020)
RR
Idaho(1/2/2020)
RR
Montana(1/2/2020)
RR
Nevada(1/2/2020)
RR
New Mexico(1/2/2020)
RR
Oregon(1/2/2020)
RR
Texas(1/31/2017)
RR
Utah(1/2/2020)
RR
Washington(1/2/2020)
RR
Wyoming(1/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/14/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO 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.
