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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

LORI LYNN GUY

Advisor at CAPITAL CLIENT GROUP, INC.

LOS ANGELES, CA | Houston, TX

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Search this name across graphsid dfx:ria:08e88a4e-12db-e087-4234-86e58a86fc37

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 6, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 17, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 17, 2000
First registration: Dec 6, 2000
Dual registered: yes, broker-dealer
Other names: LORI LYNN GUY|LORI LYNN GUY|LORI LYNN STOVALL
IAPD individual key: 4205522

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Jun 11, 2013	n/a	yes	LOS ANGELES, CA\|Houston, TX	Current employment
WELLS FARGO ADVISORS	Wirehouse	Oct 31, 2007	Jun 25, 2008	no	ADDISON, TX	Previous registration
BBVA COMPASS INVESTMENT SOLUTIONS, INC	n/a	May 7, 2004	Oct 29, 2007	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Dec 6, 2000	Nov 20, 2002	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	CAPITAL CLIENT GROUP, INC.	Jun 25, 2008	Jun 11, 2013	1,812	Firm change after gap	Wirehouse to new firm
BBVA COMPASS INVESTMENT SOLUTIONS, INC	WELLS FARGO ADVISORS	Oct 29, 2007	Oct 31, 2007	2	Firm change	Other
MORGAN STANLEY DW INC.	BBVA COMPASS INVESTMENT SOLUTIONS, INC	Nov 20, 2002	May 7, 2004	534	Firm change after gap	Other

Relationships

Registered with (4)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Jun 11, 2013 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 31, 2007 to Jun 25, 2008factForm ADV
→ BBVA COMPASS INVESTMENT SOLUTIONS, INCRegistered adviserregistration: previous registration
May 7, 2004 to Oct 29, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Dec 6, 2000 to Nov 20, 2002factForm ADV

Dated events

No dated event names this entity yet.