Samantha C. Nielsen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Samantha Claire Nielsen, who also goes by Samantha C Nielsen, Samantha Nielsen, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 2021. Samantha had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2021 - July 17, 2024
CCO CAPITAL, LLC
March 1, 2021 - September 15, 2021
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/1/2021
General Securities Representative ExaminationCurrent 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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