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Detailed Report
JAMES RYAN ORTH
James Orth
CRD#: 6347396
IA
Investment Adviser
B
Broker
CAPITAL CLIENT GROUP, INC.CRD#: 6247 3500 WISEMAN BLVD
SAN ANTONIO, TX 78251-4321
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2022 (2 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 6/13/2023
B
New Mexico 6/13/2023
B
California 1/18/2023
B
Texas 6/21/2022
B
Colorado 6/13/2023
IA
Texas 6/21/2022
B
Hawaii 8/6/2024

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)
3500 WISEMAN BLVD, SAN ANTONIO, TX 78251-4321
San Antonio, TX
Registered with this firm since 6/21/2022
B
CAPITAL CLIENT GROUP, INC. (CRD#:6247)
3500 WISEMAN BLVD, SAN ANTONIO, TX 78251-4321
San Antonio, TX
Registered with this firm since 6/21/2022
Previous Registration(s)
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IA
 12/12/2019 - 06/02/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) SAN ANTONIO, TX
B
 12/12/2019 - 06/02/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) SAN ANTONIO, TX
IA
 07/01/2019 - 10/03/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) San Antonio, TX
B
 06/25/2019 - 10/03/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) San Antonio, TX
IA
 08/20/2018 - 06/18/2019 AXA ADVISORS, LLC (CRD#:6627) SAN ANTONIO, TX
B
 08/09/2018 - 06/18/2019 AXA ADVISORS, LLC (CRD#:6627) SAN ANTONIO, TX
IA
 10/13/2016 - 05/02/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN ANTONIO, TX
B
 01/07/2016 - 05/02/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN ANTONIO, TX
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.