Toby Klein
Professional summary
Toby Klein is a registered financial professional currently at CCO CAPITAL, LLC located in Phoenix, Arizona.
Toby is registered as a RR (Registered Representative) and started their career in finance in 2005. Toby has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Toby Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2019 - Present
CCO CAPITAL, LLC
Office #1: 2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016April 10, 2018 - November 7, 2018
EDWARD JONES
April 10, 2018 - November 7, 2018
EDWARD JONES
June 19, 2014 - November 15, 2016
WOODBURY FINANCIAL SERVICES, INC.
May 17, 2011 - November 15, 2016
OSAIC WEALTH, INC.
May 17, 2011 - November 15, 2016
FSC SECURITIES CORPORATION
June 2, 2008 - November 15, 2016
OSAIC SERVICES, INC.
December 20, 2007 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
January 8, 2007 - November 15, 2016
OSAIC SERVICES, INC.
August 4, 2006 - December 18, 2006
CHASE INVESTMENT SERVICES CORP.
December 14, 2005 - July 18, 2006
CHARLES SCHWAB & CO., INC.
July 18, 2005 - October 5, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/11/2019)
(6/7/2019)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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