Semia M. Powlett

CAPITAL CLIENT GROUP

New York, NY 10022

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CRD#: 2960065

Professional summary

Semia Michelle Powlett, who also goes by Semia Michelle Powlett, Semia Powlett, is a registered financial professional currently at CAPITAL CLIENT GROUP, INC. located in New York, New York.

Semia is registered as a RR (Registered Representative) and started their career in finance in 1997. Semia has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Semia Michelle Powlett | Semia Powlett

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) - BD

Click below to view Semia Michelle Powlett'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®

None

Experience

Current

March 24, 2021 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 399 Park Ave. 39th Floor, New York, NY, 10022

RIA

CRD#: 6247

New York, NY

Past

November 28, 2018 - July 9, 2019

BNY MELLON SECURITIES CORPORATION

CRD#: 231

New York, NY

Past

June 26, 2015 - August 14, 2017

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

October 2, 2014 - May 15, 2015

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219

NEW YORK, NY

Past

January 4, 2012 - January 15, 2014

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEW YORK, NY

Past

March 2, 2009 - May 14, 2010

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

April 2, 2007 - February 9, 2009

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

April 2, 2007 - February 9, 2009

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

August 27, 1999 - June 18, 2001

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

December 2, 1997 - June 25, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 12/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/2007

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

Semia M. Powlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Semia Michelle Powlett's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNY MELLON SECURITIES CORPORATION

MORGAN STANLEY DISTRIBUTION, INC.

ARES MANAGEMENT CAPITAL MARKETS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

ALPS DISTRIBUTORS, INC.

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1997

SIE

Date: 8/14/2017

Series 7

Date: 3/30/2007

Series 6

Date: 12/1/1997

Series 24

Date: 5/11/2007

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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