ER
Eddie A. Rascon
CAPITAL CLIENT GROUP
Miami, FL 33130
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CRD#: 6636731
ER
Professional summary
Eddie Arnold Rascon, CFP®, CIMA® is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Miami, Florida.
Eddie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Eddie has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Eddie Arnold Rascon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eddie Arnold Rascon'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®
Experience
Current
June 10, 2017 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 78 Sw 7th St. 5th Fl., Suite 06-143, Miami, FL, 33130RIA
BD
CRD#: 6247
Miami, FL
Current
March 13, 2017 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 78 Sw 7th St. 5th Fl., Suite 06-143, Miami, FL, 33130RIA
BD
CRD#: 6247
Miami, FL
Past
August 15, 2016 - February 10, 2017
SCOTTRADE, INC.
BD
CRD#: 8206
METAIRIE, LA
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(2/27/2020)
RR
Arizona(2/27/2020)
RR
Arkansas(1/6/2022)
RR
California(2/27/2020)
RR
Florida(7/5/2019)
IAR
Florida(10/9/2024)
RR
Kansas(1/6/2022)
RR
Louisiana(2/27/2020)
RR
Missouri(1/6/2022)
RR
New York(2/27/2020)
RR
Oklahoma(1/6/2022)
RR
Texas(3/13/2017)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL CLIENT GROUP, INC.
CRD#: 6247Miami, FL 33130TRUST BUT VERIFY
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