Marvin L. 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.
Marvin Lee Cox JR, who also goes by Marty Cox, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1987. Marvin had worked at 7 firms and has passed the 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
September 8, 2011 - May 7, 2012
BROOKSTONE SECURITIES, INC.
January 16, 2007 - October 16, 2009
BROOKSTONE SECURITIES, INC.
May 27, 2005 - November 6, 2006
FIRST MONTAUK SECURITIES CORP.
February 21, 2001 - February 27, 2003
ACN SECURITIES INC.
September 11, 1991 - March 14, 2005
PAULSON INVESTMENT COMPANY LLC
May 15, 1989 - August 5, 1991
NATIONAL SECURITIES CORPORATION
March 27, 1989 - May 9, 1989
ADAMS SECURITIES, INC.
March 25, 1987 - April 7, 1989
HAMILTON, WILLIAMS & CO., INC.
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
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 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.
