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CC

Chris A. Carrion

Some features on this profile are disabled
CRD#: 7908362
CC

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.

Chris Anthony Carrion was a registered financial professional .

Chris is a previously registered financial professional and started their career in finance in 2024. Chris had worked at 1 firm and has passed the Series 57TO 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 8, 2024 - January 5, 2026

COGNITIVE CAPITAL, LLC

BD
CRD#: 131272
CHICAGO, IL
Past

May 24, 2024 - June 28, 2024

COGNITIVE CAPITAL, LLC

BD
CRD#: 131272
CHICAGO, IL

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
Series 57TO
Date: 5/24/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 4/29/2024
Securities Industry Essentials Examination

Current Firm

CC
COGNITIVE CAPITAL, LLC
COGNITIVE CAPITAL, LLC

CRD#: 131272 / SEC#: , 8-66442

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W Jackson # 1620, Chicago, IL 60604
Mailing Address
141 W Jackson # 1620, Chicago, IL 60604
Phone number
(312) 431-0400
Established
Illinois since 03/22/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARTHUR S. MARGULIS LIVING TRUST DATED 2/24/1998MANAGING MEMBER
MARK AND BETSY CARROLL FAMILY REVOCABLE TRUSTMEMBER
THE M & C BUCKLEY FAMILY REVOCABLE TRUST DATED 10/13/2020MEMBER
BUCKLEY, MATTHEW EDWARDTRADING MANAGER, TRUSTEE5130690
CARROLL, MARK WILLIAMCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, TRUSTEE5077727
MARGULIS, ARTHUR SIDNEY JRMANAGING PRINCIPAL, TRUSTEE2132364
RIDGES, DAVID BRIANCHIEF TECHNOLOGY OFFICER, TRUSTEE4662004
THE RIDGES FAMILY 2024 DECLARATION OF TRUST DATED MARCH 1, 2024MEMBER

Disclosures

Regulatory Event1

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

COGNITIVE CAPITAL, LLC

CRD#: 131272

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