Corinne A. Cox
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.
Corinne Ann Cox, who also goes by Corinne Ann Luft, was a registered financial professional .
Corinne is a previously registered financial professional and started their career in finance in 1983. Corinne had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2012 - November 18, 2020
PURSHE KAPLAN STERLING INVESTMENTS
June 14, 2010 - June 18, 2012
LPL FINANCIAL LLC
May 19, 2008 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
August 5, 2004 - May 2, 2008
GLEACHER & COMPANY SECURITIES, INC.
August 14, 2002 - August 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 14, 2002 - August 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 14, 1998 - July 1, 2002
QUICK & REILLY, INC.
June 5, 1992 - February 14, 1998
FLEET BROKERAGE SECURITIES, INC.
October 2, 1987 - September 17, 1990
FLEET BROKERAGE SECURITIES, INC.
April 6, 1987 - July 25, 1987
LEUMI SECURITIES CORPORATION
May 14, 1986 - March 2, 1987
DEUTSCHE BANK CAPITAL CORPORATION
October 25, 1985 - February 2, 1987
FLEET CLEARING CORPORATION
January 25, 1983 - September 17, 1990
FLEET BROKERAGE 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: 3/20/2024
General Securities Representative ExaminationSeries 8
Date: 9/20/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
