Dale H. Kang
Professional summary
Dale Han Kang is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Dale has worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dale Han Kang's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 333 South Hope Street, Los Angeles, CA 90071December 6, 2019 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
June 12, 2007 - August 17, 2009
HSBC SECURITIES (USA) INC.
March 14, 2006 - October 19, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/30/2021)
(7/1/2021)
Exams
Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
Red Flags
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