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
HOLLY CATHERINE FRAMSTED
Holly Catherine Smith, Holly Smith
CRD#: 5417954
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 400 S. Hope Street 20th Floor
Los Angeles, CA 90071
Registration History
20082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BBLACKROCK INVESTMENTS, LLC (CRD# 38642)2012 - 2021 (8 years)BBLACKROCK EXECUTION SERVICES (CRD# 39438)2007 - 2012 (5 years)
License(s)

State Registrations

B
Alabama 4/5/2021
B
Montana 4/5/2021
B
Alaska 4/5/2021
B
Nebraska 4/5/2021
B
Arizona 4/5/2021
B
Nevada 4/5/2021
B
Arkansas 4/5/2021
B
New Hampshire 4/5/2021
B
California 4/5/2021
B
New Jersey 4/5/2021
IA
California 5/4/2021
B
New Mexico 4/5/2021
B
Colorado 4/5/2021
B
New York 4/5/2021
B
Connecticut 4/5/2021
B
North Carolina 4/5/2021
B
Delaware 4/5/2021
B
North Dakota 4/5/2021
B
District of Columbia 4/5/2021
B
Ohio 4/6/2021
B
Florida 4/5/2021
B
Oklahoma 4/5/2021
B
Georgia 4/5/2021
B
Oregon 4/5/2021
B
Hawaii 4/5/2021
B
Pennsylvania 4/5/2021
B
Idaho 4/5/2021
B
Puerto Rico 4/5/2021
B
Illinois 4/5/2021
B
Rhode Island 4/5/2021
B
Indiana 4/5/2021
B
South Carolina 4/5/2021
B
Iowa 4/5/2021
B
South Dakota 4/5/2021
B
Kansas 4/5/2021
B
Tennessee 4/5/2021
B
Kentucky 4/5/2021
B
Texas 4/5/2021
B
Louisiana 4/5/2021
B
Utah 4/5/2021
B
Maine 4/5/2021
B
Vermont 4/5/2021
B
Maryland 4/5/2021
B
Virgin Islands 4/5/2021
B
Massachusetts 4/5/2021
B
Virginia 4/5/2021
B
Michigan 4/5/2021
B
Washington 4/5/2021
B
Minnesota 4/5/2021
B
West Virginia 4/5/2021
B
Mississippi 4/5/2021
B
Wisconsin 4/5/2021
B
Missouri 4/5/2021
B
Wyoming 4/5/2021

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)
400 S. Hope Street 20th Floor, Los Angeles, CA 90071
Redondo Beach, CA
Registered with this firm since 5/4/2021
B
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
400 S. Hope Street 20th Floor, Los Angeles, CA 90071
Redondo Beach, CA
Registered with this firm since 4/5/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/28/2012 - 01/11/2021 BLACKROCK INVESTMENTS, LLC (CRD#:38642) SAN FRANCISCO, CA
B
 10/15/2007 - 11/06/2012 BLACKROCK EXECUTION SERVICES (CRD#:39438) SAN FRANCISCO, CA
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.