William E. 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.
William Edward Cox, who also goes by Bill Cox, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 4, 2008 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 25, 2007 - December 31, 2007
CULLUM & BURKS SECURITIES, INC.
August 30, 2002 - December 31, 2007
CULLUM & BURKS SECURITIES, INC.
January 24, 2001 - September 4, 2002
RUSHMORE SECURITIES CORPORATION
January 4, 2000 - March 9, 2001
NORTHSTAR SECURITIES, INC.
March 3, 1999 - December 9, 1999
D.H. HILL SECURITIES, LLLP
July 7, 1998 - September 6, 2000
ATEL SECURITIES CORPORATION
June 17, 1997 - March 30, 1999
CAPTEC SECURITIES CORPORATION
January 12, 1995 - March 12, 1999
RETIREMENT INVESTMENT GROUP
April 3, 1989 - December 31, 1994
SECURITIES AMERICA, INC.
August 7, 1987 - April 3, 1989
H. KERR TAYLOR & COMPANY, INC.
May 12, 1986 - July 30, 1987
WATERFORD SECURITIES, INC.
March 27, 1984 - April 25, 1986
HALL SECURITIES CORPORATION
November 20, 1981 - March 13, 1984
FINANCIAL SYNERGIES EQUITIES, INC.
November 5, 1981 - December 17, 1981
CROWN FINANCIAL CORPORATION
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
