Kevin M. 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.
Kevin Michael Cox was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2007 - January 6, 2020
CHOREO, LLC
December 17, 2004 - July 17, 2012
BIRCHTREE FINANCIAL SERVICES LLC
November 12, 2001 - September 20, 2004
CHARLES SCHWAB & CO., INC.
February 12, 2001 - September 28, 2001
KESTRA INVESTMENT SERVICES, LLC
April 8, 1992 - October 6, 2000
CHARLES SCHWAB & CO., INC.
June 26, 1987 - March 10, 1992
NATCITY INVESTMENTS, INC.
May 23, 1986 - October 7, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
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
Series 8
Date: 8/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,137 |
| AUM (Assets Under Management) | $ 18,232,358,701 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 11/12/2024 | ||
| 12/20/2023 | ||
| 11/30/2022 |
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.
