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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Joshua Neff

Advisor at CAPITAL CLIENT GROUP, INC.

CARMEL, IN | Indianapolis, IN

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Search this name across graphsid dfx:ria:345b16d2-037a-dbae-b8f2-8aeb6329dd95

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 19, 2024 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 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 19, 2024
First registration: Mar 19, 2024
Dual registered: yes, broker-dealer
Other names: Josh Neff|Joshua Eric Neff|Joshua Eric Neff
IAPD individual key: 7712853

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	May 11, 2026	n/a	yes	Indianapolis, IN\|CARMEL, IN	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 21, 2024	Apr 6, 2026	no	INDIANAPOLIS, IN	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Apr 17, 2024	Oct 15, 2024	no	Indianapolis, IN	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 19, 2024	Mar 27, 2024	no	Indianapolis, IN	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CAPITAL CLIENT GROUP, INC.	Apr 6, 2026	May 11, 2026	35	Firm change	Other
MML INVESTORS SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 15, 2024	Nov 21, 2024	37	Firm change	Ibd to wirehouse
PRUCO SECURITIES, LLC	MML INVESTORS SERVICES, LLC	Mar 27, 2024	Apr 17, 2024	21	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
May 11, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 21, 2024 to Apr 6, 2026factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Apr 17, 2024 to Oct 15, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 19, 2024 to Mar 27, 2024factForm ADV

Dated events

Occurred
Apr 6, 2026
Advisor changed firm
Joshua Neff left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Capital Client Group, Inc. (registered 2026-05-11)
Form ADVobserved 5 days ago
Occurred
Oct 15, 2024
Advisor changed firm
Joshua Neff left Mml Investors Services, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-11-21)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2024
Advisor changed firm
Joshua Neff left Pruco Securities, Llc for Mml Investors Services, Llc (registered 2024-04-17)
Form ADVobserved 5 days ago