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Detailed Report
MARK ALLEN DENCE
MARK A DENCE
CRD#: 3040833
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES, CA 90071-1447
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2014 (4 years)2 FIRMS2014 - Present (10 years)BCOLUMBIA MANAGEMENT DISTRIBUTO... (CRD# 30683)2004 - 2010 (5 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2003 - 2004 (<1 year)BLINCOLN FINANCIAL DISTRIBUTORS... (CRD# 145)2001 - 2003 (2 years)BJOHN HANCOCK FUNDS, INC. (CRD# 28262)1998 - 2001 (2 years)IACOLUMBIA MANAGEMENT ADVISORS, LLC (CRD# 107900)2005 - 2010 (4 years)
License(s)

State Registrations

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Alabama 1/4/2022
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Montana 1/4/2022
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Arizona 1/4/2022
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Nebraska 1/4/2022
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California 6/4/2014
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Nevada 1/4/2022
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California 6/5/2014
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New Hampshire 1/4/2022
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Colorado 1/4/2022
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New Jersey 1/4/2022
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Connecticut 1/4/2022
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New Mexico 1/4/2022
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Delaware 1/4/2022
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New York 1/4/2022
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District of Columbia 1/4/2022
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North Carolina 1/4/2022
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Florida 1/4/2022
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North Dakota 1/4/2022
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Georgia 1/4/2022
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Ohio 1/4/2022
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Hawaii 1/4/2022
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Oklahoma 1/4/2022
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Idaho 1/4/2022
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Oregon 1/4/2022
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Illinois 1/4/2022
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Pennsylvania 1/4/2022
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Indiana 1/4/2022
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Rhode Island 1/4/2022
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Iowa 1/4/2022
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South Carolina 1/4/2022
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Kansas 1/4/2022
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South Dakota 1/4/2022
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Kentucky 1/4/2022
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Tennessee 1/4/2022
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Louisiana 1/4/2022
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Texas 1/4/2022
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Maine 1/4/2022
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Utah 1/4/2022
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Maryland 1/4/2022
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Vermont 1/4/2022
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Massachusetts 6/9/2014
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Virginia 1/4/2022
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Michigan 1/4/2022
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Washington 1/4/2022
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Minnesota 1/4/2022
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West Virginia 1/4/2022
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Mississippi 1/4/2022
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Wisconsin 1/4/2022
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Missouri 1/4/2022
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Wyoming 1/4/2022

SRO Registrations

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 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)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
Southboro, MA
Registered with this firm since 6/5/2014
B
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
333 SOUTH HOPE STREET, 55TH FLOOR, LOS ANGELES, CA 90071-1447
Southboro, MA
Registered with this firm since 6/4/2014
Previous Registration(s)
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IA
 05/01/2010 - 05/19/2014 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (CRD#:108257) BOSTON, MA
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 05/01/2010 - 05/19/2014 COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (CRD#:840) BOSTON, MA
IA
 07/05/2005 - 05/01/2010 COLUMBIA MANAGEMENT ADVISORS, LLC (CRD#:107900) BOSTON, MA
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 10/04/2004 - 05/01/2010 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (CRD#:30683) BOSTON, MA
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 11/07/2003 - 09/27/2004 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
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 10/31/2001 - 10/13/2003 LINCOLN FINANCIAL DISTRIBUTORS, INC. (CRD#:145) RADNOR, PA
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 04/15/1998 - 03/01/2001 JOHN HANCOCK FUNDS, INC. (CRD#:28262) BOSTON, MA
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.