James R. Orth
CAPITAL CLIENT GROUP
San Antonio, TX
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CRD#: 6347396
Professional summary
James Ryan Orth, CFP®, who also goes by James Orth, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Antonio, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Orth
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.
Name of the other business: 234 Englewood LLC / Independent Contractor with AirBnB & VRBO Is the business Investment Related: No The address of the other business: 234 Englewood Dr. San Antonio, TX 78213 The nature of the other business: Property rental with both platforms. Your position/title: Owner Start date: 06/2021 The number of hours/month you devote to the other business: 12 The number of hours during securities trading hours: None
CRS (Client Relationship Summary) - RIA
Click below to view James Ryan Orth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Ryan Orth'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®
CFP®
Start date: 2018
Experience
Current
June 21, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Current
June 21, 2022 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Past
December 12, 2019 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN ANTONIO, TX
Past
December 12, 2019 - June 2, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN ANTONIO, TX
Past
July 1, 2019 - October 3, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
San Antonio, TX
Past
June 25, 2019 - October 3, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
San Antonio, TX
Past
August 20, 2018 - June 18, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN ANTONIO, TX
Past
August 9, 2018 - June 18, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN ANTONIO, TX
Past
October 13, 2016 - May 2, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN ANTONIO, TX
Past
January 7, 2016 - May 2, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN ANTONIO, 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)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
Arizona(6/13/2023)
RR
California(1/18/2023)
RR
Colorado(6/13/2023)
RR
Hawaii(8/6/2024)
RR
New Mexico(6/13/2023)
RR
Texas(6/21/2022)
IAR
Texas(6/21/2022)
Exams
State Security Law 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.
