MC
Michael E. Cox
CW SECURITIES
Knoxville, TN 37923
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CRD#: 2129658
MC
Professional summary
Michael Edward Cox, CFP®, who also goes by Michael E Cox, Mike Cox, is a registered financial advisor currently at CW SECURITIES, LLC located in Knoxville, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 5 firms and has passed the Series 66, Series 63, Series 72, SIE, Series 7, Series 14, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael E Cox | Mike 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.
PRESIDENT OF C W SECURITIES, LLC AND INVESTMENT ADVISORY FIRM LOCATED IN KNOXVILLE, TN. APPROXIMATELY 85% OF TIME SPENT WITH THIS COMPANY. THE COMPANY IS INVESTMENT RELATED AND MR. COX IS COMPENSATED BY FEES. Mr. Cox is an Insurance Agent . Mr. Cox has appointments with various insurance companies and requires less then 5% of his time. He is compensated by insurance commissions. Mr. Cox is sole proprietor of Capital Wealth Management, LLC located in Knoxville, TN. This entity is used to pay Mr. Cox expenses and is not securities related. Less than 5% of time is dedicated to this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward 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®
Experience
Current
June 3, 2010 - Present
CW SECURITIES, LLC
Office #1: 8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923Office #2: 8870 Cedar Spring Lane Suite 208, Knoxville, TN 37923RIA
BD
CRD#: 124496
Knoxville, TN
Current
March 27, 2003 - Present
CW SECURITIES, LLC
Office #1: 8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923Office #2: 8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923RIA
BD
CRD#: 124496
Knoxville, TN
Past
June 3, 2010 - November 18, 2011
CW SECURITIES, LLC
RIA
CRD#: 119312
KNOXVILLE, TN
Past
May 21, 1996 - April 1, 2003
LANDOAK SECURITIES, LLC
BD
CRD#: 41123
KNOXVILLE, TN
Past
April 1, 1993 - May 13, 1996
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
March 14, 1991 - April 8, 1993
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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
Alabama(9/3/2003)
RR
Florida(12/10/2009)
RR
Georgia(9/9/2011)
RR
Maryland(5/25/2023)
IAR
Maryland(6/26/2024)
RR
Michigan(9/3/2003)
RR
North Carolina(5/28/2008)
RR
Tennessee(3/28/2003)
IAR
Tennessee(6/3/2010)
RR
Texas(10/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CW SECURITIES, LLC
CW SECURITIES, LLC
CRD#: 124496 / SEC#: , 8-65683
Maryland
Registered Investment Advisory firm - SEC (6/26/2024 Approved)Tennessee
Registered Investment Advisory firm - SEC (5/28/2010 Approved)Texas
Registered Investment Advisory firm - SEC (9/30/2022 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923
Mailing Address
8870 Cedar Springs Lane Suite 208, Knoxville, TN 37923
Phone number
(865) 690-9886
Established
Tennessee since 02/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
3
FINRA licenses (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 224 |
| AUM (Assets Under Management) | $ 103,539,085 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CW SECURITIES, LLC
CRD#: 124496Knoxville, TN 37923TRUST BUT VERIFY
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