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RM

Richard J. Munoz

CCO CAPITAL
Los Angeles, CA 90010
Some features on this profile are disabled
CRD#: 5516495
RM

Professional summary

Richard Joseph Munoz is a registered financial professional currently at CCO CAPITAL, LLC located in Los Angeles, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 2 firms and has passed the SIE, Series 7, Series 14 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 Richard Joseph Munoz'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®
None

Experience

Current

June 20, 2018 - Present

CCO CAPITAL, LLC

Office #1: 4700 Wilshire Boulevard, Los Angeles, CA 90010
BD
CRD#: 31147
Los Angeles, CA
Past

November 5, 2012 - June 4, 2018

WILLIAM O'NEIL SECURITIES

BD
CRD#: 894
LOS ANGELES, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/2018
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#: 31147Los Angeles, CA 90010

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