DC
Donald P. Cox
COX GLOBAL ASSOCIATES
KATY, TX 77494
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CRD#: 1369976
DC
Professional summary
Donald Paul Cox, who also goes by Don Cox, is a registered financial advisor currently at COX GLOBAL ASSOCIATES INC located in Katy, Texas and GENEOS WEALTH MANAGEMENT, INC. located in Katy, Texas.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Donald has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Don Cox
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) DBA:OWNER OF COX GLOBAL ASSOCIATES INC AN INVESTMENT RELATED BUSINESS LOCATED AT BRANCH LOCATION. 2) PIN OAK ATRIUM BLDG-OWNER. 3) COX EXCALIBUR CATTLE CO-OWNER. 4) MIGHTY MAX CART LLC-BOARD MEMBER AND CO-OWNER. 5) INTERNATIONAL RED BRANGUS BREEDERS ASSOCIATION-BOARD MEMBER. 6) KATY MANAGEMENT DISTRICT 1-BOARD MEMBER.
CRS (Client Relationship Summary) - RIA
Click below to view Donald Paul Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald Paul 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 3, 2003 - Present
COX GLOBAL ASSOCIATES INC
Office #1: 1260 Pin Oak Road Suite 204, Katy, TX 77494RIA
CRD#: 107368
KATY, TX
Current
November 17, 2016 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 1260 Pin Oak Rd Suite #204, Katy, TX 77494-5679RIA
BD
CRD#: 120894
Katy, TX
Current
December 5, 2006 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 1260 Pin Oak Rd Suite #204, Katy, TX 77494-5679RIA
BD
CRD#: 120894
Katy, TX
Past
September 13, 1996 - December 6, 2006
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
KATY, TX
Past
December 16, 1989 - July 17, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 24, 1985 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
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".
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Iowa(8/17/2007)
IAR
Minnesota(12/17/2024)
RR
Mississippi(1/8/2023)
RR
New Jersey(1/2/2025)
RR
North Carolina(6/14/2022)
RR
Ohio(11/11/2019)
IAR
Texas(1/3/2003)
RR
Texas(12/5/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Mailing Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Phone number
(303) 785-8470
Established
Colorado since 04/12/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
200
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GWM HOLDINGS, INC | STOCKHOLDER | |
| BRUBAKER-RAGER, JODEE MAY | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1888958 |
| DIACHOK, RUSSELL RHINE | DIRECTOR | 1049804 |
| DIACHOK, RYAN WESLEY | CEO | 4047236 |
| HELMS, JEFFREY WRIGHT | DIRECTOR | 1346620 |
| OLSON, RAYMOND COREY | CFO | 1527445 |
| RAGER, DEAN ALLEN | CHIEF OPERATING OFFICER & CHIEF ADVISORY COMPLIANCE OFFICER | 2852133 |
Regulatory assets under management
| Total Number of Accounts | 22,073 |
| AUM (Assets Under Management) | $ 5,597,034,535 |
Disclosures
| Regulatory Event | 6 |
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.
Company Information
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894Katy, TX 77494TRUST BUT VERIFY
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