Melissa B. Roe

CAPITAL CLIENT GROUP

Los Angeles, CA 90071-1447

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CRD#: 2525772

Professional summary

Melissa Britton Roe, AIF®, CIMA®, who also goes by Melissa Christine Britton, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Melissa has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melissa Christine Britton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Britton Roe's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Melissa Britton Roe's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 26, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

CRD#: 6247

Los Angeles, CA

Current

April 26, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 333 South Hope Street 55th Floor, Los Angeles, CA, 90071-1447

RIA

CRD#: 6247

Los Angeles, CA

Past

September 1, 2011 - April 11, 2018

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

August 6, 2001 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

IRVINE, CA

Past

August 3, 2001 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

IRVINE, CA

Past

May 2, 2000 - April 11, 2018

NUVEEN SECURITIES, LLC

CRD#: 469

Redondo Beach, CA

Past

July 15, 1997 - October 19, 1999

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

December 3, 1996 - July 15, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 7, 1995 - October 31, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 7, 1995 - October 31, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL CLIENT GROUP, INC.

AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.

CRD#: 6247 / SEC#: 801-77946, 8-17168

RIA

Registered Investment Advisory firm - SEC (4/25/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(2/20/2019)

Arizona
(2/20/2019)

California
(4/26/2018)

IAR

California
(4/26/2018)

Florida
(6/18/2019)

Georgia
(6/18/2019)

Hawaii
(2/20/2019)

Idaho
(2/20/2019)

Illinois
(6/18/2019)

Missouri
(6/18/2019)

Montana
(2/20/2019)

Nevada
(2/20/2019)

New York
(6/18/2019)

North Dakota
(2/20/2019)

Oregon
(2/20/2019)

South Carolina
(6/18/2019)

South Dakota
(2/20/2019)

Texas
(6/18/2019)

Utah
(2/20/2019)

Washington
(2/20/2019)

Wyoming
(2/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.

CRD#: 6247 / SEC#: 801-77946, 8-17168

RIA

Registered Investment Advisory firm - SEC (4/25/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406

Mailing Address

333 S. Hope St. 55th Fl., Los Angeles, CA 90071

Phone number

(213) 486-9200

Established

California since 05/09/1972

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

911

SEC notice filing (15 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AFD FORM ADV PART 2A (9/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL RESEARCH AND MANAGEMENT COMPANY	STOCKHOLDER
AGUILAR, ALBERT JR	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR	5106724
BURTON, RENE MARGARET	TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR	1956766
MCHALE, TIMOTHY WILLIAM	SECRETARY	4244021
O'CONNOR, MATTHEW PHILIP	CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR	2427203
PIKEN, KEITH ALAN	SENIOR VICE PRESIDENT, DIRECTOR	2576730
TRIESSL, MICHAEL JAMES	DIRECTOR	3060797

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Melissa B. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Britton Roe's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Melissa Britton Roe's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN SECURITIES, LLC

COREBRIDGE CAPITAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2001

Series 63

Date: 11/6/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/5/1995

Series 24

Date: 6/7/2011

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

CAPITAL CLIENT GROUP, INC.

TRUST BUT VERIFY

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