William G. 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 Gerald Cox, who also goes by Jerry Cox, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 6 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2004 - December 31, 2013
INVESTORS CAPITAL CORP.
January 2, 2001 - December 31, 2003
DEMPSEY FINANCIAL NETWORK, INC.
May 3, 1999 - December 31, 2000
PARK AVENUE SECURITIES LLC
July 6, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 20, 1987 - February 14, 1989
OGILVIE SECURITY ADVISORS CORPORATION
February 18, 1987 - October 26, 1987
WS GRIFFITH SECURITIES, INC.
March 30, 1983 - February 20, 1987
OGILVIE SECURITY ADVISORS CORPORATION
September 24, 1982 - March 8, 1983
WS GRIFFITH 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
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
