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Detailed Report
JESSICA ANN MCCONNELL
JESSICA ANN SEIWERT
CRD#: 5072569
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Investment Adviser
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Previous Broker
CAPITAL CS GROUP, LLCCRD#: 304523 15375 BARRANCA PARKWAY
SUITE G-110
IRVINE, CA 92618
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - 2019 (5 years)IACAPITAL CS GROUP, LLC (CRD# 304523)2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2007 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2007 - 2007 (<1 year)
Disclosure(s)
View By:
10/12/2015
Customer Dispute
Settled
4/25/2012
Customer Dispute
Denied
License(s)

State Registrations

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California 8/12/2019
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Louisiana 1/2/2020
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Connecticut 10/29/2019
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Texas 8/9/2019
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Florida 2/11/2020
Current Registration(s)
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CAPITAL CS GROUP, LLC (CRD#:304523)
15375 BARRANCA PARKWAY SUITE G-110, IRVINE, CA 92618
Registered with this firm since 8/9/2019
Previous Registration(s)
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 02/20/2014 - 08/26/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) IRVINE, CA
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 02/20/2014 - 08/26/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) IRVINE, CA
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 06/01/2009 - 02/27/2014 MORGAN STANLEY (CRD#:149777) IRVINE, CA
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 06/01/2009 - 02/27/2014 MORGAN STANLEY (CRD#:149777) IRVINE, CA
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 09/12/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) IRVINE, CA
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 09/12/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) IRVINE, CA
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 01/01/2007 - 08/06/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) NEWPORT BEACH, CA
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 12/06/2006 - 08/06/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.