AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JC

John A. Cox Jr.

RCM SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2381930
JC

Professional summary

John A Cox Jr., who also goes by John Arthur Cox, is a registered financial professional currently at RCM SECURITIES located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Arthur 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John A Cox Jr.'s CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 3, 2025 - Present

RCM SECURITIES

Office #1: 318 W Adams St Floor 10, Chicago, IL 60606
BD
CRD#: 15548
Chicago, IL
Past

February 9, 2009 - September 17, 2025

MOORS & CABOT, INC.

RIA
CRD#: 594
Maitland, FL
Past

January 23, 2009 - September 17, 2025

MOORS & CABOT, INC.

BD
CRD#: 594
Maitland, FL
Past

September 26, 1997 - February 11, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ORLANDO, FL
Past

September 23, 1997 - February 11, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ORLANDO, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(10/3/2025)
RR
Florida
(10/3/2025)
RR
Illinois
(10/3/2025)
RR
Maryland
(10/3/2025)
RR
South Carolina
(10/28/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/22/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/3/1995
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RCM SECURITIES
CHANDER P. WADHWA | WADHWA, CHANDER P. | SNC CAPITAL MANGEMENT CORP. | SNC CAPITAL MANAGEMENT LLC | SNC CAPITAL MANAGEMENT CORP. | SNC CAPITAL MANAGEMENT CORP | RCM SECURITIES CORP | RCM SECURITIES

CRD#: 15548 / SEC#: , 8-33866

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
318 W Adams St Floor 10, Chicago, IL 60606
Mailing Address
318 W Adams St Floor 10, Chicago, IL 60606
Phone number
31287011530
Established
Illinois since 01/21/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SWEENEY, EDMUND JOSEPHCCO4566276
SWEENEY, EDMUND JOSEPHCEO4566276
3PEAS LLCOWNER
NAVILLUS CAPITAL LLCOWNER
RIEGER, PAUL JOSEPHBROKER5862030
SULLIVAN, TAMMY NAUGHTONSECRETARY4653089

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

RCM SECURITIES

CRD#: 15548Chicago, IL 60606

TRUST BUT VERIFY

Monitor John Cox Jr.

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics