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LZ

Lindsay L. Zagoria

Some features on this profile are disabled
CRD#: 5783803
LZ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lindsay Loree Zagoria, who also goes by Lindsay Loree Dycus, was a registered financial professional .

Lindsay is a previously registered financial professional and started their career in finance in 2010. Lindsay had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lindsay Loree Dycus

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 6, 2016 - June 5, 2017

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
CARMEL, IN
Past

September 6, 2016 - June 5, 2017

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
CARMEL, IN
Past

November 5, 2015 - March 29, 2016

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
Franklin, TN
Past

May 14, 2013 - December 3, 2013

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
FRANKLIN, TN
Past

March 20, 2013 - March 29, 2016

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

September 15, 2011 - January 16, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
FRANKLIN, TN
Past

September 9, 2011 - January 16, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
FRANKLIN, TN
Past

November 23, 2010 - June 24, 2011

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
FRANKLIN, TN
Past

August 18, 2010 - August 26, 2010

WADDELL & REED

RIA
CRD#: 866
NASHVILLE, TN
Past

July 19, 2010 - August 26, 2010

WADDELL & REED

BD
CRD#: 866
NASHVILLE, TN

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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/17/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2010
General Securities Representative Examination

Current Firm

CAPITAL CLIENT GROUP, INC.
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 (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

NamePositionCRD#
CAPITAL RESEARCH AND MANAGEMENT COMPANYSTOCKHOLDER
AGUILAR, ALBERT JRCHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR5106724
BURTON, RENE MARGARETTREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR1956766
MCHALE, TIMOTHY WILLIAMSECRETARY4244021
O'CONNOR, MATTHEW PHILIPCHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR2427203
PIKEN, KEITH ALANSENIOR VICE PRESIDENT, DIRECTOR2576730
TRIESSL, MICHAEL JAMESDIRECTOR3060797

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.

Company Information

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

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