James T. Sophia
Professional summary
James T Sophia is a registered financial professional currently at CCO CAPITAL, LLC located in Phoenix, Arizona.
James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has 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) - BD
Click below to view James T Sophia's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2023 - Present
CCO CAPITAL, LLC
Office #1: 2398 East Camelback Rd 4th Floor, Phoenix, AZ 85016April 30, 2023 - July 27, 2023
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/4/2023)
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Exams
Series 7TO
Date: 4/29/2023
General Securities Representative ExaminationFINRA
Current 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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