Susan 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.
Susan Michelle Cox, who also goes by Michelle Cox, S. Michelle Kemp Cox, Susan M Kemp, Susan Michelle Kemp, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1986. Susan had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2009 - June 5, 2012
USAA FINANCIAL ADVISORS, INC.
March 24, 2005 - June 5, 2012
USAA INVESTMENT SERVICES COMPANY
March 18, 2005 - June 5, 2012
USAA INVESTMENT SERVICES COMPANY
February 3, 2003 - October 7, 2003
CETERA INVESTMENT ADVISERS LLC
July 2, 2002 - October 9, 2002
CAPITAL BROKERAGE CORPORATION
April 3, 2000 - October 7, 2003
CAPITAL BROKERAGE CORPORATION
February 18, 1994 - November 16, 1995
G. R. PHELPS & CO., INC.
December 26, 1986 - January 21, 1994
MML INVESTORS SERVICES, LLC
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
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
