Celina L. Chhuon-romero

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CRD#: 7095071

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.

Celina Li Chhuon-romero, who also goes by Celina Li Chhuon Romero, Celina Li Chhuon-hopkins, Celina Li Chhuon-romero, was a registered financial professional .

Celina is a previously registered financial professional and started their career in finance in 2022. Celina had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Celina Li Chhuon Romero | Celina Li Chhuon-Hopkins | Celina Li Chhuon-Romero

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.

SMART MONEY BUDDIES, LLC POSITION: Founder NATURE: Creating financial literacy content through engaging stories for our youth. The goal is to start children off on a fun and exciting path toward basic financial literacy. We create books and activities that keep children engaged while also stimulating their thought process to understand how money works. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/21/2023 ADDRESS: 336 W. 35th St., San Pedro CA 90731, United States DESCRIPTION: I am the founder (one woman job) and created this LLC for my children and other children to understand money management in a fun way. It is a hobby/business. I write/create the content and hire illustrators to bring my stories to life. I then market and release the books for order via Instagram/Google and Amazon KDP. All purchases are done through Amazon, so after the actual books are launched, there's not much work for me to do other than to set up marketing as needed. It's passive work unless I'm coming up with new content.

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

October 9, 2023 - August 22, 2024

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

LOS ANGELES, CA

Past

October 9, 2023 - August 22, 2024

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

February 25, 2022 - June 29, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HAWTHORNE, CA

Past

January 19, 2022 - June 29, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HAWTHORNE, CA

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

State Security Law Exam

IAR

Series 66

Date: 2/23/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/11/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/20/2021

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/2024

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

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Celina L. Chhuon-romero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2022

Series 63

Date: 9/11/2021

Series 7TO

Date: 1/19/2022

SIE

Date: 5/20/2021

Series 24

Date: 2/5/2024

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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