George 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.
George Hays Cox was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1993. George had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2014 - July 10, 2015
THE LEADERS GROUP, INC.
February 5, 2014 - October 24, 2014
OSAIC SERVICES, INC.
May 26, 2011 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - November 5, 2010
VOYA FINANCIAL ADVISORS, INC.
August 26, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 20, 1996 - September 20, 2002
LIFEMARK SECURITIES CORP.
June 3, 1993 - April 4, 1996
METROPOLITAN LIFE INSURANCE COMPANY
June 3, 1993 - April 4, 1996
MSI FINANCIAL SERVICES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
