Michael W. 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.
Michael William Cox, who also goes by Michael W Cox, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - August 15, 2020
SAMMONS FINANCIAL NETWORK, LLC
February 9, 2011 - July 2, 2014
PARKLAND SECURITIES, LLC
July 16, 2007 - February 3, 2009
HORNOR, TOWNSEND & KENT, LLC
September 27, 2005 - February 22, 2007
CITIZENS SECURITIES, INC.
April 14, 2004 - July 15, 2005
TRANSAMERICA CAPITAL, LLC
September 23, 2002 - April 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 29, 2000 - January 28, 2002
BOFA DISTRIBUTORS, INC.
September 3, 1998 - August 31, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 22, 1997 - February 12, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1997 - March 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 1994 - October 23, 1996
CAPITAL BROKERAGE CORPORATION
January 27, 1993 - April 15, 1994
IDS LIFE INSURANCE COMPANY
January 27, 1993 - April 15, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 1992 - August 27, 1992
HIBBARD BROWN & 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
Series 7TO
Date: 1/2/2024
General Securities Representative ExaminationCurrent Firm
SAMMONS FINANCIAL NETWORK, LLC
CRD#: 158538 / SEC#: , 8-68905
Contact information
FINRA licenses (53 States and Territories)
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.
