EL
Emily R. Liao
CAPITAL CLIENT GROUP
New York, NY 10022
Some features on this profile are disabled
CRD#: 4747083
EL
Professional summary
Emily Rose Liao, who also goes by Emily R Kochman Ms., Emily R Kochman, Emily R Liao, Emily R Tillman, Emily Rose Tillman, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in New York, New York.
Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Emily has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 82, Series 6, Series 7, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily R Kochman Ms. | Emily R Kochman | Emily R Liao | Emily R Tillman | Emily Rose Tillman
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) - RIA
Click below to view Emily Rose Liao's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emily Rose Liao'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
February 16, 2017 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 399 Park Ave. 39th Floor, New York, NY, 10022RIA
BD
CRD#: 6247
New York, NY
Current
May 5, 2016 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 399 Park Ave. 39th Floor, New York, NY, 10022RIA
BD
CRD#: 6247
New York, NY
Past
November 9, 2004 - April 18, 2006
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
April 26, 2004 - April 18, 2006
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WALTHAM, 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
Alabama(10/19/2016)
RR
Alaska(10/19/2016)
RR
Arizona(10/19/2016)
RR
Arkansas(10/19/2016)
RR
California(9/16/2016)
RR
Colorado(10/19/2016)
RR
Connecticut(10/19/2016)
RR
Delaware(10/19/2016)
RR
District of Columbia(10/19/2016)
RR
Florida(10/19/2016)
RR
Georgia(10/19/2016)
RR
Hawaii(10/19/2016)
RR
Idaho(10/19/2016)
RR
Illinois(10/19/2016)
RR
Indiana(10/19/2016)
RR
Iowa(10/19/2016)
RR
Kansas(10/19/2016)
RR
Kentucky(10/19/2016)
RR
Louisiana(10/19/2016)
RR
Maine(10/19/2016)
RR
Maryland(10/19/2016)
RR
Massachusetts(10/19/2016)
RR
Michigan(10/19/2016)
RR
Minnesota(10/19/2016)
RR
Mississippi(10/19/2016)
RR
Missouri(10/19/2016)
RR
Montana(10/19/2016)
RR
Nebraska(10/19/2016)
RR
Nevada(10/19/2016)
RR
New Hampshire(10/19/2016)
RR
New Jersey(10/19/2016)
RR
New Mexico(10/19/2016)
RR
New York(10/19/2016)
IAR
New York(8/16/2024)
RR
North Carolina(10/19/2016)
RR
North Dakota(10/19/2016)
RR
Ohio(10/19/2016)
RR
Oklahoma(10/19/2016)
RR
Oregon(10/19/2016)
RR
Pennsylvania(10/19/2016)
RR
Puerto Rico(10/19/2016)
RR
Rhode Island(10/19/2016)
RR
South Carolina(10/19/2016)
RR
South Dakota(10/19/2016)
RR
Tennessee(10/19/2016)
RR
Texas(10/19/2016)
RR
Utah(10/19/2016)
RR
Vermont(10/19/2016)
RR
Virgin Islands(10/19/2016)
RR
Virginia(10/19/2016)
RR
Washington(10/19/2016)
RR
West Virginia(10/19/2016)
RR
Wisconsin(10/19/2016)
RR
Wyoming(10/19/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/20/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
