Thomas J. Cox
Professional summary
Thomas John Cox JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Thomas had worked at 7 firms, which includes BRIARWOOD INVESTMENT COUNSEL, J.W. BARCLAY & CO. INC., S. D. COHN & CO. INC., LCP CAPITAL CORP., BUTTONWOOD SECURITIES INC., TOLUCA PACIFIC SECURITIES CORP., MAIDSTONE FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1997 - June 30, 1997
BRIARWOOD INVESTMENT COUNSEL
January 22, 1997 - May 20, 1997
J.W. BARCLAY & CO., INC.
August 29, 1996 - January 20, 1997
S. D. COHN & CO., INC.
January 3, 1996 - October 17, 1996
LCP CAPITAL CORP.
August 10, 1995 - December 15, 1995
BUTTONWOOD SECURITIES, INC.
July 12, 1995 - September 15, 1995
TOLUCA PACIFIC SECURITIES CORP.
December 8, 1994 - July 21, 1995
S. D. COHN & CO., INC.
March 2, 1994 - August 5, 1994
MAIDSTONE FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BRIARWOOD INVESTMENT COUNSEL
CRD#: 6368 / SEC#: , 8-21715
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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