Sejal U. Penkar

CAPITAL CLIENT GROUP

Los Angeles, CA 90071-1447

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CRD#: 5377298

Professional summary

Sejal Udani Penkar, who also goes by Sejal Penkar, Sejal Udani Penkar, Sejal M Udani, Sejal Mahendra Udani, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.

Sejal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Sejal has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sejal Penkar | Sejal Udani Penkar | Sejal M Udani | Sejal Mahendra Udani

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.

Name of the other business: Beach Cities Internal Medicine / Is the business Investment Related: No / The address of the other business: 3701 Skypark Drive, Unit 105, Torrance, CA, 90505 / The nature of the other business: Medical Practice, Primary Care / Your position/title: Administrative Assistant / Start date: effective immediately / The number of hours/month you devote to the other business: 2-4 hours a month total, only on weekends / The number of hours during securities trading hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sejal Udani Penkar's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sejal Udani Penkar'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 11, 2021 - 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

March 11, 2021 - 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

July 18, 2019 - March 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOS ANGELES, CA

Past

June 19, 2019 - March 1, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LOS ANGELES, CA

Past

August 8, 2012 - May 2, 2019

WELLS FARGO SECURITIES, LLC

CRD#: 126292

EL SEGUNDO, CA

Past

October 31, 2007 - February 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

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

Alabama
(3/11/2021)

Alaska
(3/11/2021)

Arizona
(3/11/2021)

Arkansas
(3/11/2021)

California
(3/11/2021)

IAR

California
(3/11/2021)

Colorado
(3/11/2021)

Connecticut
(3/11/2021)

Delaware
(3/11/2021)

District of Columbia
(3/11/2021)

Florida
(3/11/2021)

Georgia
(3/11/2021)

Hawaii
(3/11/2021)

Idaho
(3/11/2021)

Illinois
(3/11/2021)

Indiana
(3/11/2021)

Iowa
(3/11/2021)

Kansas
(3/11/2021)

Kentucky
(3/11/2021)

Louisiana
(3/11/2021)

Maine
(3/11/2021)

Maryland
(3/11/2021)

Massachusetts
(3/11/2021)

Michigan
(3/11/2021)

Minnesota
(3/11/2021)

Mississippi
(3/11/2021)

Missouri
(3/11/2021)

Montana
(3/11/2021)

Nebraska
(3/11/2021)

Nevada
(3/11/2021)

New Hampshire
(3/11/2021)

New Jersey
(3/11/2021)

New Mexico
(3/11/2021)

New York
(3/11/2021)

North Carolina
(3/11/2021)

North Dakota
(3/11/2021)

Ohio
(3/11/2021)

Oklahoma
(3/11/2021)

Oregon
(3/11/2021)

Pennsylvania
(3/11/2021)

Puerto Rico
(3/11/2021)

Rhode Island
(3/11/2021)

South Carolina
(3/11/2021)

South Dakota
(3/11/2021)

Tennessee
(3/11/2021)

Texas
(3/11/2021)

Utah
(3/11/2021)

Vermont
(3/11/2021)

Virgin Islands
(3/11/2021)

Virginia
(3/11/2021)

Washington
(3/11/2021)

West Virginia
(3/11/2021)

Wisconsin
(3/11/2021)

Wyoming
(3/11/2021)

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: 7/17/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2012

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Sejal U. Penkar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sejal Udani Penkar's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sejal Udani Penkar's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2019

Series 63

Date: 8/23/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2012

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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