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ML

Mark E. Lavery

CCO CAPITAL
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 3160731
ML

Professional summary

Mark Edward Lavery, CFP® is a registered financial professional currently at CCO CAPITAL, LLC located in Phoenix, Arizona.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 6 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Mark Edward Lavery's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

February 10, 2021 - Present

CCO CAPITAL, LLC

Office #1: 2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016
BD
CRD#: 31147
Phoenix, AZ
Past

July 26, 2016 - January 5, 2021

APOLLO GLOBAL SECURITIES, LLC

BD
CRD#: 153502
NEW YORK, NY
Past

November 1, 2011 - October 20, 2015

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

June 30, 2001 - November 1, 2011

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

August 22, 2000 - March 29, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 21, 1998 - November 23, 1999

INVESTMENT PLANNERS, INC.

BD
CRD#: 18557
DECATUR, IL

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(2/10/2021)
RR
California
(2/10/2021)
RR
Missouri
(2/10/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/20/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/18/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CCO CAPITAL, LLC
CCO CAPITAL, LLC | COLE CAPITAL CORPORATION

CRD#: 31147 / SEC#: , 8-45375

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016
Mailing Address
2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016
Phone number
(602) 778-6312
Established
Delaware since 02/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CCO CAPITAL HOLDINGS, LLCOWNER
BECERRIL, CRYSTAL LFINOP7037197
BECERRIL, CRYSTAL LPRINCIPAL OPERATIONS OFFICER7037197
BECERRIL, CRYSTAL LPRINCIPAL FINANCIAL OFFICER7037197
DEMBO, JORDANSECRETARY7408267
SOMERS, AARON GEORGEDEPUTY CHIEF COMPLIANCE OFFICER3145910
TERRY, JOSEPH DEANCHIEF COMPLIANCE OFFICER4612910
VANDE KROL, EMILY LPRESIDENT5595099

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.

Company Information

CCO CAPITAL, LLC

CRD#: 31147Phoenix, AZ 85016

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