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Detailed Report
Keith Alan Piken
KEITH A PIKEN, KEITH ALAN PIKEN
CRD#: 2576730
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES, CA 90071-1447
Registration History
1995200020052010201520202025BCAPITAL CLIENT GROUP, INC. (CRD# 6247)2024 - Present (1 year)IACAPITAL CLIENT GROUP, INC. (CRD# 6247)2023 - Present (1 year)BAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)2011 - 2021 (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2011 (1 year)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2009 - 2009 (<1 year)BCOLUMBIA MANAGEMENT DISTRIBUTO... (CRD# 30683)2005 - 2008 (3 years)BBACAP DISTRIBUTORS, LLC (CRD# 46088)2004 - 2005 (<1 year)BCOLUMBIA FUNDS DISTRIBUTOR, INC. (CRD# 30683)1997 - 2004 (6 years)BFIDELITY DISTRIBUTORS CORPORATION (CRD# 6848)1997 - 1997 (<1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1995 - 1997 (2 years)IACAPITAL GROUP PRIVATE CLIENT S... (CRD# 312837)2021 - 2024 (3 years)IACAPITAL BANK AND TRUST COMPANY (CRD# 170017)2021 - 2021 (<1 year)IAAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)2014 - 2021 (6 years)
License(s)

State Registrations

IA
California 12/13/2023

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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CAPITAL CLIENT GROUP, INC. (CRD#:6247)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
La Canada, CA
Registered with this firm since 3/4/2024
IA
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
La Canada, CA
Registered with this firm since 12/13/2023
Previous Registration(s)
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 07/01/2021 - 12/17/2024 CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. (CRD#:312837) LOS ANGELES, CA
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 01/29/2021 - 07/01/2021 CAPITAL BANK AND TRUST COMPANY (CRD#:170017) Los Angeles, CA
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 02/20/2014 - 01/04/2021 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) LOS ANGELES, CA
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 02/15/2011 - 01/04/2021 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) LOS ANGELES, CA
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 10/23/2009 - 02/02/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOSTON, MA
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 04/02/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 08/20/2005 - 10/01/2008 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (CRD#:30683) BOSTON, MA
B
 10/13/2004 - 08/20/2005 BACAP DISTRIBUTORS, LLC (CRD#:46088) CHARLOTTE, NC
B
 12/10/1997 - 10/15/2004 COLUMBIA FUNDS DISTRIBUTOR, INC. (CRD#:30683) BOSTON, MA
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 03/11/1997 - 12/16/1997 FIDELITY DISTRIBUTORS CORPORATION (CRD#:6848) SMITHFIELD, RI
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 01/18/1995 - 03/11/1997 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
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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.