NH
Nicole Hui
CCO CAPITAL
Los Angeles, CA 90010
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CRD#: 5374885
NH
Professional summary
Nicole Hui is a registered financial professional currently at CCO CAPITAL, LLC located in Los Angeles, California.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2009. Nicole has worked at 5 firms and has passed the Series 63, Series 3, SIE and Series 7 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 Nicole Hui'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
February 26, 2024 - Present
CCO CAPITAL, LLC
Office #1: 4700 Wilshire Boulevard, Los Angeles, CA 90010BD
CRD#: 31147
Los Angeles, CA
Past
March 10, 2016 - February 6, 2024
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
SAN FRANCISCO, CA
Past
June 23, 2014 - February 24, 2016
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
October 25, 2013 - May 27, 2014
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
July 26, 2013 - August 20, 2013
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
January 1, 2009 - August 7, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
SAN FRANCISCO, CA
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(2/26/2024)
RR
Alaska(2/26/2024)
RR
Arizona(2/26/2024)
RR
Arkansas(2/26/2024)
RR
California(2/26/2024)
RR
Colorado(2/26/2024)
RR
Connecticut(2/26/2024)
RR
Delaware(2/26/2024)
RR
District of Columbia(2/26/2024)
RR
Florida(2/26/2024)
RR
Georgia(2/26/2024)
RR
Hawaii(2/26/2024)
RR
Idaho(2/26/2024)
RR
Illinois(2/26/2024)
RR
Indiana(2/26/2024)
RR
Iowa(2/26/2024)
RR
Kansas(2/26/2024)
RR
Kentucky(2/26/2024)
RR
Louisiana(2/26/2024)
RR
Maine(2/26/2024)
RR
Maryland(2/26/2024)
RR
Massachusetts(2/26/2024)
RR
Michigan(2/26/2024)
RR
Minnesota(2/26/2024)
RR
Mississippi(2/26/2024)
RR
Missouri(2/26/2024)
RR
Montana(2/26/2024)
RR
Nebraska(2/26/2024)
RR
Nevada(2/26/2024)
RR
New Hampshire(2/26/2024)
RR
New Jersey(2/26/2024)
RR
New Mexico(2/26/2024)
RR
New York(2/26/2024)
RR
North Carolina(2/26/2024)
RR
North Dakota(2/26/2024)
RR
Ohio(2/26/2024)
RR
Oklahoma(2/26/2024)
RR
Oregon(2/26/2024)
RR
Pennsylvania(2/26/2024)
RR
Puerto Rico(2/26/2024)
RR
Rhode Island(2/26/2024)
RR
South Carolina(2/26/2024)
RR
South Dakota(2/26/2024)
RR
Tennessee(2/26/2024)
RR
Texas(2/26/2024)
RR
Utah(2/26/2024)
RR
Vermont(2/26/2024)
RR
Virgin Islands(2/26/2024)
RR
Virginia(2/26/2024)
RR
Washington(2/26/2024)
RR
West Virginia(2/26/2024)
RR
Wisconsin(2/26/2024)
RR
Wyoming(2/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | 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
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.
