Mark 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.
Mark Henry Cox was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 52, Series 17, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2010 - June 22, 2022
SANFORD C. BERNSTEIN & CO., LLC
October 1, 2008 - August 12, 2009
J.P. MORGAN SECURITIES LLC
May 13, 2002 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 25, 1996 - February 7, 1997
FINANCIERE INDOSUEZ INCORPORATED
September 16, 1993 - November 30, 2001
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
Primary Firm SEC Registration
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
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: 1/2/2023
General Securities Representative ExaminationSeries 17
Date: 7/30/1993
Limited Registered Representative ExaminationCurrent Firm
SANFORD C. BERNSTEIN & CO., LLC
CRD#: 104474 / SEC#: 801-57937, 8-52942
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 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.
