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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JOHN PATRICK FINNERAN

Advisor at CAPITAL CLIENT GROUP, INC.

Harleysville, PA | LOS ANGELES, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:3feff998-3440-7948-d63b-aa1a298c96de

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 18, 2008 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: Oct 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 1, 2007
First registration: Apr 18, 2008
Dual registered: yes, broker-dealer
Other names: JOHN P FINNERAN|JOHN P FINNERAN III|JOHN P FINNERAN|JOHN P FINNERAN|JOHN P FINNERAN|JOHN P FINNERAN|JOHN P FINNERAN|JOHN PATRICK FINNERAN|JOHN PATRICK FINNERAN
IAPD individual key: 5284074

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 4, 2021	n/a	yes	Harleysville, PA\|LOS ANGELES, CA\|Los Angeles, CA	Current employment
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Mar 27, 2019	Mar 22, 2021	no	New York, NY\|PRINCETON, NJ\|San Francisco, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Nov 12, 2010	Jun 3, 2013	no	KING OF PRUSSIA, PA\|PHILADELPHIA, PA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 22, 2010	no	WEST CONSHOHOCKEN, PA\|Berwyn, PA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 18, 2008	Jun 1, 2009	no	WEST CONSHOHOCKEN, PA	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
BLACKROCK INVESTMENT MANAGEMENT, LLC	CAPITAL CLIENT GROUP, INC.	Mar 22, 2021	May 4, 2021	43	Firm change	Other
STRATEGIC ADVISERS LLC	BLACKROCK INVESTMENT MANAGEMENT, LLC	Jun 3, 2013	Mar 27, 2019	2,123	Firm change after gap	Other
MORGAN STANLEY	STRATEGIC ADVISERS LLC	Oct 22, 2010	Nov 12, 2010	21	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
May 4, 2021 to presentfactForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 27, 2019 to Mar 22, 2021factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2010 to Jun 3, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 22, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 18, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.