Individual Firm
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.
SHAWN MARIE OSULLIVAN
CRD#: 3003572
IA
B
CAPITAL CLIENT GROUP, INC.CRD#: 6247 333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES, CA 90071-1447
LOS ANGELES, CA 90071-1447
0
Disclosures
26
Years of Experience
View By:
State Registrations
IA
California 8/28/2013
B
Missouri 11/15/2024
B
California 1/3/2025
B
Nebraska 11/15/2024
B
Connecticut 11/15/2024
B
New Hampshire 11/15/2024
B
Delaware 11/15/2024
B
New Jersey 11/15/2024
B
District of Columbia 11/15/2024
B
New York 11/15/2024
B
Illinois 11/15/2024
B
North Carolina 11/15/2024
B
Indiana 11/15/2024
B
Ohio 4/8/2008
B
Iowa 11/15/2024
B
Pennsylvania 11/15/2024
B
Kentucky 11/15/2024
B
Rhode Island 11/15/2024
B
Maine 11/15/2024
B
Tennessee 11/15/2024
B
Maryland 11/15/2024
B
Vermont 11/15/2024
B
Massachusetts 11/15/2024
B
Virginia 11/15/2024
B
Michigan 7/14/2009
B
Wisconsin 11/15/2024
B
Minnesota 11/15/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/28/2013
B
Registered with this firm since 4/8/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/20/2005 - 03/26/2008 | BEVERLY HILLS, CA | |
IA | 01/27/2004 - 10/18/2005 | BOSTON , MA | |
B | 03/18/1998 - 10/18/2005 | BOSTON, MA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.