AS
Allison M. Straub
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
Some features on this profile are disabled
CRD#: 4634924
AS
Professional summary
Allison Marie Straub is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Allison has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
Name of the other business: 138 BPR LLC / Is the business Investment Related: No / The address of the other business: 138 Boston Post Road East Lyme, CT 06333 / The nature of the other business: The land will eventually have rental properties on it where we will receive passive income / Your position/title: co-owner with husband / Start date: 3/31/2021 / The number of hours/month you devote to the other business: 0 / The number of hours during securities trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Allison Marie Straub's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Allison Marie Straub'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
August 13, 2019 - 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
August 13, 2019 - 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
December 21, 2009 - July 23, 2019
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
Old Lyme, CT
Past
November 13, 2008 - December 31, 2008
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NIANTIC, CT
Past
October 29, 2008 - July 23, 2019
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
April 20, 2006 - October 3, 2008
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
October 19, 2005 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
RIA
CRD#: 107719
BOSTON, MA
Past
September 1, 2005 - October 3, 2008
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
May 2, 2003 - August 23, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
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.
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
California(8/13/2019)
IAR
California(8/13/2019)
RR
Connecticut(8/13/2019)
RR
Florida(1/4/2022)
RR
New York(8/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
