Brett E. Dearing
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brett Edward Dearing was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1994. Brett had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2011 - May 30, 2013
CCO CAPITAL, LLC
August 25, 2010 - July 18, 2011
VICEROY PRIVATE WEALTH LLC
November 12, 2009 - September 13, 2010
VICEROY WEALTH MANAGEMENT
July 26, 2004 - September 10, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 20, 2004 - July 20, 2004
FORESIDE FUND SERVICES, LLC
February 10, 1998 - December 15, 2003
GOLDMAN SACHS & CO. LLC
January 31, 1996 - February 2, 1996
NEW ENGLAND SECURITIES
January 22, 1996 - January 9, 1998
NATIXIS DISTRIBUTION, LLC
February 17, 1994 - January 25, 1996
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CCO CAPITAL, LLC
CRD#: 31147 / SEC#: , 8-45375
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CCO CAPITAL HOLDINGS, LLC | OWNER | |
| BECERRIL, CRYSTAL L | FINOP | 7037197 |
| BECERRIL, CRYSTAL L | PRINCIPAL OPERATIONS OFFICER | 7037197 |
| BECERRIL, CRYSTAL L | PRINCIPAL FINANCIAL OFFICER | 7037197 |
| DEMBO, JORDAN | SECRETARY | 7408267 |
| SOMERS, AARON GEORGE | DEPUTY CHIEF COMPLIANCE OFFICER | 3145910 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER | 4612910 |
| VANDE KROL, EMILY L | PRESIDENT | 5595099 |
Red Flags
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