Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DUANE ROBERT MATTSON
Duane Mattson
CRD#: 2439753
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 3500 WISEMAN BLVD
SAN ANTONIO, TX 78251-4321
Registration History
19952000200520102015202020252 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2004 (<1 year)2 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2018 (6 years)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BPIMCO INVESTMENTS LLC (CRD# 154957)2018 - 2020 (2 years)BQUASAR DISTRIBUTORS, LLC (CRD# 103848)2010 - 2011 (1 year)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2002 - 2002 (<1 year)BLUTHERAN BROTHERHOOD SECURITIE... (CRD# 4205)1994 - 2002 (8 years)
License(s)

State Registrations

B
California 8/15/2022
B
Texas 8/15/2022
B
North Dakota 6/29/2023
IA
Texas 8/21/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
3500 WISEMAN BLVD, SAN ANTONIO, TX 78251-4321
San Marcos, TX
Registered with this firm since 8/16/2022
B
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
3500 WISEMAN BLVD, SAN ANTONIO, TX 78251-4321
San Marcos, TX
Registered with this firm since 8/15/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/07/2021 - 07/07/2022 LION STREET ADVISORS, LLC (CRD#:167610) AUSTIN, TX
B
 01/04/2021 - 07/07/2022 LION STREET FINANCIAL, LLC (CRD#:165828) AUSTIN, TX
B
 10/16/2018 - 10/30/2020 PIMCO INVESTMENTS LLC (CRD#:154957) Austin, TX
IA
 05/17/2012 - 10/10/2018 DIMENSIONAL FUND ADVISORS LP (CRD#:106482) AUSTIN, TX
B
 05/17/2012 - 10/10/2018 DFA SECURITIES LLC (CRD#:10292) AUSTIN, TX
IA
 12/05/2011 - 05/15/2012 AL FRANK ASSET MANAGEMENT INC (CRD#:108517) AUSTIN, TX
B
 12/05/2011 - 04/30/2012 NORTHERN LIGHTS DISTRIBUTORS, LLC (CRD#:126159) ELKHORN, NE
B
 04/07/2010 - 11/30/2011 QUASAR DISTRIBUTORS, LLC (CRD#:103848) PORTLAND, ME
IA
 09/17/2008 - 11/18/2009 VICTORY CAPITAL MANAGEMENT INC. (CRD#:106189) SAN ANTONIO, TX
B
 07/17/2008 - 08/04/2009 VICTORY CAPITAL ADVISERS, INC. (CRD#:37059) AUSTIN, TX
IA
 10/26/2004 - 04/17/2008 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
B
 10/26/2004 - 04/17/2008 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
IA
 03/22/2004 - 08/25/2004 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
 03/22/2004 - 08/25/2004 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
IA
 06/23/2003 - 03/17/2004 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
B
 06/23/2003 - 03/17/2004 NFP SECURITIES, INC. (CRD#:42046) AUSTIN, TX
B
 07/01/2002 - 12/31/2002 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) MINNEAPOLIS, MN
B
 01/28/1994 - 07/01/2002 LUTHERAN BROTHERHOOD SECURITIES CORP. (CRD#:4205) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.