Carole H. 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.
Carole Herron Cox was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 2003. Carole had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2013 - September 30, 2023
GLOBALT INVESTMENTS
March 25, 2003 - August 6, 2013
GLOBALT INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Current Firm
GLOBALT INVESTMENTS
CRD#: 168405 / SEC#: 801-78344
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,225 |
| AUM (Assets Under Management) | $ 2,543,718,212 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 11/16/2022 |
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.
