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Melissa Britton Roe

Capital Client Group, Inc.

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About Melissa Britton Roe

Melissa Britton Roe is a financial advisor at Capital Client Group, Inc., a registered investment advisor firm based in Los Angeles, California. Melissa has been in the financial services industry since 1996. She is registered in 20 states to provide investment advice and is also a registered representative with FINRA. Melissa holds several industry licenses including Series 7, 63, 65 and 24. Prior to joining Capital Client Group, Inc., Melissa was employed by Nuveen Securities, LLC and SunAmerica Capital Services, Inc..

Firm Information

Melissa Roe is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

As agreed upon in a manner that covers registrant's costs

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Melissa Roe’s Registration & Firm History

CA

04/26/2018 - Present

Capital Client Group, Inc. (LOS ANGELES CA)

CA

05/02/2000 - 04/11/2018

NUVEEN SECURITIES, LLC (Redondo Beach CA)

NJ

07/15/1997 - 10/19/1999

SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)

AZ

12/03/1996 - 07/15/1997

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

MN

12/07/1995 - 10/31/1996

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

12/07/1995 - 10/31/1996

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 05/21/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/06/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/07/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Melissa Britton Roe.
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