SB
Siobhan M. Broadbery
CAPITAL CLIENT GROUP
Los Angeles, CA 90071-1447
Some features on this profile are disabled
CRD#: 6002774
SB
Professional summary
Siobhan Marie Broadbery, who also goes by Siobhan M Broadbery, Siobhan Broadbery, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Siobhan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Siobhan has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Siobhan M Broadbery | Siobhan Broadbery
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 Siobhan Marie Broadbery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Siobhan Marie Broadbery'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
July 11, 2025 - 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
March 19, 2025 - 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
June 6, 2022 - January 9, 2025
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
BD
CRD#: 313390
New York, NY
Past
May 22, 2019 - May 20, 2022
FLOURISH FINANCIAL LLC
BD
CRD#: 293019
New York, NY
Past
February 2, 2018 - May 31, 2019
FORESIDE GLOBAL SERVICES, LLC
BD
CRD#: 147382
New York, NY
Past
August 14, 2017 - February 2, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
New York, NY
Past
June 1, 2016 - August 14, 2017
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
May 9, 2014 - March 30, 2016
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
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(3/19/2025)
RR
Alaska(3/19/2025)
RR
Arizona(3/19/2025)
RR
Arkansas(3/19/2025)
RR
California(3/19/2025)
IAR
California(7/11/2025)
RR
Colorado(3/19/2025)
RR
Connecticut(3/19/2025)
RR
Delaware(3/19/2025)
RR
District of Columbia(3/19/2025)
RR
Florida(3/19/2025)
RR
Georgia(3/19/2025)
RR
Hawaii(3/19/2025)
RR
Idaho(3/19/2025)
RR
Illinois(3/19/2025)
RR
Indiana(3/19/2025)
RR
Iowa(3/19/2025)
RR
Kansas(3/19/2025)
RR
Kentucky(3/19/2025)
RR
Louisiana(3/19/2025)
RR
Maine(3/19/2025)
RR
Maryland(3/19/2025)
RR
Massachusetts(3/19/2025)
RR
Michigan(3/19/2025)
RR
Minnesota(3/19/2025)
RR
Mississippi(3/19/2025)
RR
Missouri(3/19/2025)
RR
Montana(3/19/2025)
RR
Nebraska(3/19/2025)
RR
Nevada(3/19/2025)
RR
New Hampshire(3/19/2025)
RR
New Jersey(3/19/2025)
RR
New Mexico(3/19/2025)
RR
New York(3/19/2025)
RR
North Carolina(3/19/2025)
RR
North Dakota(3/19/2025)
RR
Ohio(3/19/2025)
RR
Oklahoma(3/19/2025)
RR
Oregon(3/19/2025)
RR
Pennsylvania(3/19/2025)
RR
Rhode Island(3/19/2025)
RR
South Carolina(3/19/2025)
RR
South Dakota(3/19/2025)
RR
Tennessee(3/19/2025)
RR
Texas(3/19/2025)
RR
Utah(3/19/2025)
RR
Vermont(3/19/2025)
RR
Virginia(3/19/2025)
RR
Washington(3/19/2025)
RR
West Virginia(3/19/2025)
RR
Wisconsin(3/19/2025)
RR
Wyoming(3/19/2025)
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.
