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For Advisors
SD

Sofia G. Douzoglou

CCO CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 7226771
SD

Professional summary

Sofia Graciela Douzoglou, who also goes by Sofia Douzoglou, is a registered financial professional currently at CCO CAPITAL, LLC located in New York, New York.

Sofia is registered as a RR (Registered Representative) and started their career in finance in 2020. Sofia has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sofia Douzoglou

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 Sofia Graciela Douzoglou'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

October 14, 2024 - Present

CCO CAPITAL, LLC

Office #1: 540 Madison Avenue 8th Floor, New York, NY 10022
BD
CRD#: 31147
New York, NY
Past

January 31, 2022 - June 30, 2010

CITI PRIVATE ALTERNATIVES, LLC

RIA
CRD#: 153777
New York, NY
Past

January 31, 2022 - May 15, 2024

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
New York, NY
Past

February 23, 2021 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

November 25, 2020 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(10/14/2024)
RR
California
(10/14/2024)
RR
Connecticut
(1/28/2025)
RR
Maine
(1/28/2025)
RR
Massachusetts
(1/28/2025)
RR
New Hampshire
(1/28/2025)
RR
New York
(10/14/2024)
RR
Rhode Island
(1/28/2025)
RR
Vermont
(1/28/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/20/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/25/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2020
Securities Industry Essentials 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#: 31147New York, NY 10022

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