MC
Michael P. Cox
LOMBARD ADVISERS
MATTHEWS, NC 28105
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CRD#: 1241173
MC
Professional summary
Michael Preston Cox is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in Matthews, North Carolina and LOMBARD SECURITIES INCORPORATED located in Mathews, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Starting Insurance Sales for Life and Health in state of North Carolina.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Preston Cox's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 11, 2007 - Present
LOMBARD ADVISERS INCORPORATED
Office #1: 130 Library Lane, Matthews, NC 28105RIA
CRD#: 108231
MATTHEWS, NC
Current
January 10, 2007 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 130 Library Lane Suite 100, Mathews, NC 28105BD
CRD#: 27954
Mathews, NC
Past
May 9, 2006 - December 7, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MATTHEWS, NC
Past
November 21, 2003 - December 7, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MATTHEWS, NC
Past
May 18, 1990 - January 21, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
September 26, 1988 - May 29, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 15, 1986 - September 28, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
February 23, 1984 - January 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/6/2021)
RR
Delaware(1/8/2020)
RR
Georgia(1/9/2008)
RR
Idaho(1/8/2020)
RR
Illinois(1/29/2020)
RR
Maryland(12/9/2016)
RR
Minnesota(1/30/2025)
RR
Missouri(1/10/2024)
RR
New York(1/17/2007)
RR
North Carolina(1/11/2007)
IAR
North Carolina(4/21/2022)
RR
Ohio(1/5/2022)
RR
Oregon(1/6/2022)
RR
Pennsylvania(1/10/2007)
RR
South Carolina(1/31/2007)
RR
Virginia(1/16/2008)
RR
Washington(5/7/2019)
RR
West Virginia(1/23/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1820 Lancaster St, Baltimore, MD 21231
Mailing Address
Phone number
(410) 342-1300
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,377 |
| AUM (Assets Under Management) | $ 567,437,959 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
