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Keith Piken

Director at Capital Research and Management

Investment adviser and broker registrationsSEC record checked 17 October 2026

31
Years in the industry
3
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Keith Piken is Director of Capital Research and Management Company, a Los Angeles investment adviser managing $4.32T. Keith Piken has 31 years in the industry across 3 firms and has passed 7 licensing exams.

Role at Capital Research and Management

Title on Schedule A
Director
Control
Keith Piken is a control person of Capital Research and Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Keith Piken has held the filed role since December 2024.

The firm

Capital Research and Management Company
Los Angeles, CA

Form ADV filed 25 September 2026

$4.32T AUM23,578 clients411 advisers5 offices

Career on record

Firms and exams, newest first
  1. Capital Client Group, Inc.Current
    – present · 3 years
    La Canada, CA · Adviser representative and broker · Firm CRD 6247
  2. Capital Client Group, Inc.Current
    – present · 3 years
    , · Adviser representative · Firm CRD 6247
  3. Passed Series 24 and Series 7TO · 2023
  4. Capital Group Private Client Services, Inc.
    – · 3 years
    Los Angeles, CA · Adviser representative · Firm CRD 312837
  5. Capital Bank And Trust Company
    – · under a year
    Los Angeles, CA · Adviser representative · Firm CRD 170017
  6. Passed SIE · 2018
  7. American Funds Distributors, Inc.
    – · 7 years
    Los Angeles, CA · Adviser representative · Firm CRD 6247
  8. Passed Series 65 · 2014
  9. Passed Series 26 · 2000
  10. Passed Series 7 and Series 63 · 1995

Registrations and exams

Keith Piken has a current investment-adviser registration in California and has passed 7 qualifying exams.

California13 December 2023
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6520 February 2014
Name
Uniform Investment Adviser Law Examination
Series 636 February 1995
Name
Uniform Securities Agent State Law Examination
Series 242 January 2023
Name
General Securities Principal Examination
Series 2622 June 2000
Name
Investment Company Products/Variable Contracts Principal Examination
Series 7TO2 January 2023
Name
General Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 January 1995
Name
General Securities Representative Examination

Individual record

Full name
Keith Alan Piken
CRD
2576730
Firm
Capital Research and Management Company
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Keith Piken work?

Keith Piken has been Director of Capital Research and Management Company since December 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Is Keith Piken a financial advisor?

Yes. Keith Piken has a current investment-adviser registration in California, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Keith Piken have?

Keith Piken has worked in the financial industry for 31 years as of 17 October 2026, counted from 23 August 1995, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Keith Piken passed?

Keith Piken has passed 7 licensing exams: the Series 7, Series 63, Series 26, Series 65, SIE, Series 24 and Series 7TO. The earliest, the Series 7, was passed in January 1995.

Source: IAPD individual record, checked 17 October 2026

Where was Keith Piken previously registered as an investment adviser?

Keith Piken has past investment-adviser registrations through Capital Group Private Client Services, Inc., July 2021 to December 2024; Capital Bank And Trust Company, January 2021 to July 2021; American Funds Distributors, Inc., February 2014 to January 2021, across 3 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Capital Research and Management

Sources

  1. IAPD individual record, CRD 2576730. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Capital Research and Management Company, filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Keith Piken or Capital Research and Management Company and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.