RM
Richard R. Middlebrooks
CCO CAPITAL
Phoenix, AZ 85016
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CRD#: 7447962
RM
Professional summary
Richard Robert Middlebrooks is a registered financial professional currently at CCO CAPITAL, LLC located in Phoenix, Arizona.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 1 firm and has passed the Series 63, Series 7TO and SIE 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 Richard Robert Middlebrooks'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 25, 2022 - Present
CCO CAPITAL, LLC
Office #1: 2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016BD
CRD#: 31147
Phoenix, AZ
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
Alaska(6/26/2023)
RR
Arizona(4/26/2022)
RR
Arkansas(6/26/2023)
RR
California(4/15/2022)
RR
Colorado(6/26/2023)
RR
Connecticut(2/2/2024)
RR
Delaware(2/2/2024)
RR
District of Columbia(6/19/2024)
RR
Hawaii(6/26/2023)
RR
Idaho(6/26/2023)
RR
Illinois(6/26/2023)
RR
Indiana(6/26/2023)
RR
Iowa(6/26/2023)
RR
Kansas(6/26/2023)
RR
Maine(2/2/2024)
RR
Maryland(2/2/2024)
RR
Massachusetts(2/2/2024)
RR
Michigan(6/26/2023)
RR
Minnesota(6/26/2023)
RR
Missouri(6/26/2023)
RR
Montana(6/26/2023)
RR
Nebraska(6/26/2023)
RR
Nevada(6/26/2023)
RR
New Hampshire(2/2/2024)
RR
New Jersey(6/19/2024)
RR
New Mexico(6/26/2023)
RR
North Carolina(6/19/2024)
RR
North Dakota(6/26/2023)
RR
Oregon(6/26/2023)
RR
Pennsylvania(2/2/2024)
RR
Rhode Island(2/2/2024)
RR
South Carolina(6/19/2024)
RR
South Dakota(6/26/2023)
RR
Texas(6/26/2023)
RR
Utah(6/26/2023)
RR
Vermont(2/2/2024)
RR
Virginia(2/2/2024)
RR
Washington(6/26/2023)
RR
West Virginia(6/19/2024)
RR
Wisconsin(6/26/2023)
RR
Wyoming(6/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2022
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
