Heather M. Lord

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CRD#: 6171122

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.

Heather Marie Lord was a registered financial professional .

Heather is a previously registered financial professional and started their career in finance in 2015. Heather had worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

April 27, 2016 - August 24, 2020

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

April 3, 2015 - March 10, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2015

General Securities Principal Examination

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)

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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)

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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Heather M. Lord

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 4/3/2015

Series 24

Date: 4/28/2015

Current Firm

CAPITAL CLIENT GROUP, INC.

Contact information

SEC notice filing (15 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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