JC
James K. Cox
NFSG
BATON ROUGE, LA
Some features on this profile are disabled
CRD#: 2365633
JC
Professional summary
James Keith Cox, who also goes by J Keith Cox, Keith Cox, is a registered financial advisor currently at NFSG CORPORATION located in Baton Rouge, Louisiana and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J Keith Cox | Keith 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.
1) Gratia Management LLC; Baton Rouge, LA 70810 a non-investment ; consulting business owned by my son; I am a Director; spend less than 5 hrs/month on the business and typically none during trading hours; I provide counsel to my son; 2) Premier Wealth, LLC (DBA); 451 E Airport Ave. Baton Rouge, LA 70806; an investment advisory representative affiliate of Newbridge Financial; this is my primary business beginning 11/2017 and will spend most hours during trading day working in this pursuit; I am the sole owner; 3) James Keith Cox Insurance Agent - 03/2024 - Ongoing Sale and Service of Insurance products.. 20% of time. Prospect for those who need Life, Health and/or Accident insurance products, gather information about their situation, and recommend & implement the appropriate products needed.
CRS (Client Relationship Summary) - RIA
Click below to view James Keith 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®
NoneExperience
Current
January 8, 2018 - Present
NFSG CORPORATION
RIA
CRD#: 130814
BATON ROUGE, LA
Current
October 8, 2018 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
July 7, 2015 - April 26, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
BATON ROUGE, LA
Past
July 7, 2015 - April 26, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BATON ROUGE, LA
Past
March 26, 2009 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BATON ROUGE, LA
Past
March 26, 2009 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BATON ROUGE, LA
Past
February 4, 2008 - March 26, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
BATON ROUGE, LA
Past
February 4, 2008 - March 26, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
BATON ROUGE, LA
Past
March 20, 2006 - February 15, 2008
RAYMOND J. LUCIA COMPANIES, INC.
RIA
CRD#: 115670
BATON ROUGE, LA
Past
July 14, 2004 - April 18, 2006
RJL FINANCIAL NETWORK, L.L.C.
RIA
CRD#: 128074
BATON ROUGE, LA
Past
June 7, 2004 - February 5, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BATON ROUGE, LA
Past
March 20, 1997 - February 5, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BATON ROUGE, LA
Past
August 24, 1993 - March 12, 1997
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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(10/12/2022)
RR
Florida(9/2/2022)
IAR
Florida(9/14/2022)
IAR
Louisiana(1/8/2018)
RR
Louisiana(11/26/2018)
IAR
Texas(1/17/2018)
RR
Texas(9/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
