Sam Gumma is a registered investment advisor at Capital Client Group, INC., based in Los Angeles, CA, with 28 years of industry experience. Sam 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
Get directionsHistory
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
Sam has filed paperwork to establish an LLC for purchasing rental investment property, starting in September 2016. He is also a co-owner of G Ten LLC, a rental property business, spending minimal time on it.
Employment History
Current Registrations
Capital Client Group, INC.
Capital Client Group, INC.
Capital Client Group, INC.Broker
Previous Registrations
Manulife Asset Management (US) LLC
John Hancock Advisers, LLC
John Hancock Funds, LLCBroker
Quasar Distributors, LLCBroker
Funds Distributor, INC.Broker
Lpm Investment Services, INCBroker
Standard Brokerage Services, INC.Broker
Olde Discount CorporationBroker
State Registrations3 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.