NF
Nikolaus V. Friedrich
CAPITAL CLIENT GROUP
San Antonio, TX
Some features on this profile are disabled
CRD#: 4378207
NF
Professional summary
Nikolaus Vahid Friedrich, CIMA®, who also goes by Vahid Vahid Friedrich, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Antonio, Texas.
Nikolaus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nikolaus has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vahid Vahid Friedrich
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.
Name of the other business: Bexar County Texas Elections Department / Is the business Investment Related: No / The address of the other business: 1003 S Rio Suite 100San Antonio, TX 78207 / The nature of the other business:
Managing a voting site. Duties include picking up supplies, setting up the voting site, overseeing election clerks on site, and returning supplies and ballots at the end of the election / Your position/title: Election Judge / Start date: 9/22/2020 / The number of hours/month you devote to the other business: 20 hours twice a year, in May and in November / The number of hours during securities trading hours: None
CRS (Client Relationship Summary) - RIA
Click below to view Nikolaus Vahid Friedrich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nikolaus Vahid Friedrich'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 29, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Current
September 22, 2014 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Past
June 25, 2007 - August 12, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
WESTLAKE, TX
Past
October 20, 2005 - November 2, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
June 28, 2001 - May 30, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
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(1/5/2021)
RR
Alaska(1/6/2021)
RR
Arizona(1/13/2021)
RR
Arkansas(1/5/2021)
RR
California(1/5/2021)
RR
Colorado(9/23/2020)
RR
Connecticut(1/5/2021)
RR
Delaware(1/26/2021)
RR
District of Columbia(1/6/2021)
RR
Florida(1/5/2021)
RR
Georgia(1/5/2021)
RR
Hawaii(1/6/2021)
RR
Idaho(1/12/2021)
RR
Illinois(1/12/2021)
RR
Indiana(1/6/2021)
RR
Iowa(1/8/2021)
RR
Kansas(1/5/2021)
RR
Kentucky(1/6/2021)
RR
Louisiana(1/8/2021)
RR
Maine(1/6/2021)
RR
Maryland(9/1/2020)
RR
Massachusetts(1/5/2021)
RR
Michigan(1/5/2021)
RR
Minnesota(1/5/2021)
RR
Mississippi(1/5/2021)
RR
Missouri(1/5/2021)
RR
Montana(1/5/2021)
RR
Nebraska(1/5/2021)
RR
Nevada(1/19/2021)
RR
New Hampshire(1/5/2021)
RR
New Jersey(1/5/2021)
RR
New Mexico(1/5/2021)
RR
New York(1/9/2021)
RR
North Carolina(1/5/2021)
RR
North Dakota(1/12/2020)
RR
Ohio(1/5/2021)
RR
Oklahoma(9/15/2020)
RR
Oregon(1/6/2021)
RR
Pennsylvania(1/5/2021)
RR
Puerto Rico(1/14/2021)
RR
Rhode Island(1/4/2021)
RR
South Carolina(1/6/2021)
RR
South Dakota(1/11/2021)
RR
Tennessee(1/5/2021)
RR
Texas(9/29/2014)
IAR
Texas(9/29/2014)
RR
Utah(1/6/2021)
RR
Vermont(1/5/2021)
RR
Virgin Islands(1/7/2021)
RR
Virginia(1/5/2021)
RR
Washington(1/5/2021)
RR
West Virginia(1/11/2021)
RR
Wisconsin(1/7/2021)
RR
Wyoming(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
