SG
Samuel J. Groban
CCO CAPITAL
New York, NY 10022
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CRD#: 4312489
SG
Professional summary
Samuel Jason Groban is a registered financial professional currently at CCO CAPITAL, LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2001. Samuel has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Samuel Jason Groban'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®
NoneExperience
Current
April 30, 2025 - Present
CCO CAPITAL, LLC
Office #1: 540 Madison Avenue 8th Floor, New York, NY 10022BD
CRD#: 31147
New York, NY
Past
May 18, 2022 - April 28, 2025
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
May 25, 2019 - February 23, 2022
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
July 30, 2009 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
August 24, 2005 - October 29, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
RIA
CRD#: 113359
NEW YORK, NY
Past
May 10, 2005 - October 29, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 6, 2001 - April 22, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
June 13, 2001 - September 25, 2001
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
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
Alabama(4/30/2025)
RR
Arizona(4/30/2025)
RR
Arkansas(4/30/2025)
RR
California(4/30/2025)
RR
Colorado(4/30/2025)
RR
Connecticut(4/30/2025)
RR
Delaware(4/30/2025)
RR
District of Columbia(4/30/2025)
RR
Florida(4/30/2025)
RR
Georgia(4/30/2025)
RR
Hawaii(4/30/2025)
RR
Idaho(4/30/2025)
RR
Illinois(4/30/2025)
RR
Indiana(4/30/2025)
RR
Iowa(4/30/2025)
RR
Kansas(4/30/2025)
RR
Kentucky(4/30/2025)
RR
Louisiana(4/30/2025)
RR
Maine(4/30/2025)
RR
Maryland(4/30/2025)
RR
Massachusetts(4/30/2025)
RR
Michigan(4/30/2025)
RR
Minnesota(4/30/2025)
RR
Mississippi(4/30/2025)
RR
Missouri(4/30/2025)
RR
Montana(4/30/2025)
RR
Nebraska(4/30/2025)
RR
Nevada(4/30/2025)
RR
New Hampshire(4/30/2025)
RR
New Jersey(4/30/2025)
RR
New Mexico(4/30/2025)
RR
New York(4/30/2025)
RR
North Carolina(4/30/2025)
RR
North Dakota(4/30/2025)
RR
Ohio(4/30/2025)
RR
Oklahoma(4/30/2025)
RR
Oregon(4/30/2025)
RR
Pennsylvania(4/30/2025)
RR
Rhode Island(4/30/2025)
RR
South Carolina(4/30/2025)
RR
South Dakota(4/30/2025)
RR
Tennessee(4/30/2025)
RR
Texas(4/30/2025)
RR
Utah(4/30/2025)
RR
Vermont(4/30/2025)
RR
Virginia(4/30/2025)
RR
Washington(4/30/2025)
RR
West Virginia(4/30/2025)
RR
Wisconsin(4/30/2025)
RR
Wyoming(4/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CCO CAPITAL HOLDINGS, LLC | OWNER | |
| BECERRIL, CRYSTAL L | PRINCIPAL OPERATIONS OFFICER | 7037197 |
| BECERRIL, CRYSTAL L | PRINCIPAL FINANCIAL OFFICER | 7037197 |
| BECERRIL, CRYSTAL L | FINOP | 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
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.
