NC
Nancy L. Cox
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CRD#: 1276426
NC
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.
Nancy Lee Cox, who also goes by Nancy Cox, Cox Gehlbach, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nancy Cox | Cox Gehlbach
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.
1) NAME:GORDON COX TRUST AND GRACE COX TRUST,INVESTMENT RELATED:YES,NATURE:TRUSTS,YOUR POSITION,TITLE,ASSOCIATION:TRUSTEE ON MOTHER AND FATHER'S TRUST,START DATE: 10/14/1991,HOURS DEVOTED PER MONTH: 0,HOURS DEVOTED DURING SECURITIES TRADING HOURS:0,
DUTIES: MY DUTIES ARE TO ACT AS TRUSTEE IF THEY BECOME UNABLE TO ACT FOR THEMSELVES.
I*20506
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: GORD-N-GRACE LLC
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
MIDDLEBURG HTS., OHIO 44130
NATURE OF BUSINESS: OTHER, RENTAL PROPERTY
POSITION, TITLE, ASSOCIATION: OTHER, COLLECT RENT
START DATE OF RELATIONSHIP: 4/20/2010
NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: MANAGE PROPERTY
I*72260
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: CONDO RENTAL
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
REMINDERVILLE, OHIO 44202
NATURE OF BUSINESS: SOLE PROPRIETORSHIP,
POSITION, TITLE, ASSOCIATION: OWNER,
START DATE OF RELATIONSHIP: 1/3/2014
NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: RENTAL PROPERTY
I*44580
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: COTTAGE RENTAL INCOME
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
COMBERMERE, ONTARIO K0J1L0
NATURE OF BUSINESS: FAMILY BUSINESS,
POSITION, TITLE, ASSOCIATION: OWNER,
START DATE OF RELATIONSHIP: 7/25/2011
NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2
DUTIES: THIS IS A SMALL COTTAGE THAT I RENT SOMETIMES WHEN FAMILY MEMBERS ARE NOT USING IT. I WILL ALSO RENT A KAYAK AND A CANOE WITH IT.
I*80728
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: FLORIDA REAL ESTATE
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
SANIBEL ISLAND, FLORIDA 33957
NATURE OF BUSINESS: FAMILY BUSINESS,
POSITION, TITLE, ASSOCIATION: FAMILY HELD,
START DATE OF RELATIONSHIP: 4/27/2015
NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: FLORIDA REAL ESTATE RENTAL PROPERTY
I*100079
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: GRACE L. COX
INVESTMENT RELATED: Y
ADDRESS OF BUSINESS:
MIDDLEBURG HTS, OHIO 44130
NATURE OF BUSINESS: OTHER,IRA
POSITION, TITLE, ASSOCIATION: OTHER, POA
START DATE OF RELATIONSHIP: 11/18/2015
NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2
DUTIES: POA FINANCIAL ADVISOR
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®
NoneExperience
Past
January 23, 1996 - July 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTLAKE, OH
Past
June 26, 1984 - July 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTLAKE, OH
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
