Daniel A. Williams

CAPITAL CLIENT GROUP

LOS ANGELES, CA 90071-1447

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CRD#: 5253354

Professional summary

Daniel Akil Williams, who also goes by Dan Williams, Daniel Williams, is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Aliases

Dan Williams | Daniel Williams

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.

(1) Responsible Alpha; Board Member; Sustainability consulting; 09/2023; approx 1-2 hours per month - no time devoted during normal securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Akil Williams'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®

None

Experience

Current

August 7, 2026 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

CRD#: 6247

LOS ANGELES, CA

Past

February 22, 2024 - January 13, 2026

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Baltimore, MD

Past

January 3, 2022 - February 20, 2024

T. ROWE PRICE ASSOCIATES, INC.

RIA

CRD#: 105496

Owings Mills, MD

Past

September 24, 2021 - February 20, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Past

April 20, 2015 - December 31, 2015

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

Past

September 17, 2010 - August 16, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

December 22, 2008 - September 7, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

DOWNERS GROVE, IL

Past

August 28, 2007 - September 7, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

January 23, 2007 - April 10, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, 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)

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.

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

California
(8/7/2026)

Maryland
(8/7/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/24/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/21/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2007

General Securities Representative Examination

SRO Registrations

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

PREMIUM

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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 (24 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AFD FORM ADV PART 2A (9/26/2025)

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.

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Firm Stability Insights

Daniel A. Williams

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Akil Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

T. ROWE PRICE ASSOCIATES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

DWS DISTRIBUTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2021

Series 7TO

Date: 9/24/2021

SIE

Date: 9/21/2021

Series 7

Date: 1/22/2007

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

Contact information

SEC notice filing (24 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

CAPITAL CLIENT GROUP, INC.

TRUST BUT VERIFY

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