Arthur Sgroi is a registered investment advisor at Capital Client Group, INC., based in Los Angeles, CA, with 36 years of industry experience. Arthur operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
333 South Hope Street, 55th Floor, Los Angeles, CA, 90071-1447
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Arthur is a minority owner in a few racehorses with several others. He will not be spending any time directly on this effort and will share in any winnings.
Employment History
Current Registrations
Capital Client Group, INC.
Capital Client Group, INC.Broker
Capital Client Group, INC.
Previous Registrations
Alliance Fund Distributors, INC.Broker
Fidelity Investments Institutional Services Company, INC.Broker
Linsco/private Ledger CORP.Broker
W. S. Griffith & CO., INC.Broker
Nathan & Lewis Securities, INC.Broker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.