Perry L. Cox
Professional summary
Perry L Cox, who also goes by Perry Lee Cox, Petty Lee Cox, is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Riner, Virginia and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa.
Perry is registered as a RR (Registered Representative) and started their career in finance in 1994. Perry has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Perry L Cox's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2025 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #2: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402January 8, 2025 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402October 8, 2014 - January 13, 2023
NYLIFE SECURITIES LLC
October 5, 2009 - September 16, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 1997 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 14, 1997 - October 23, 1997
A. G. EDWARDS & SONS, INC.
July 19, 1994 - April 2, 1997
FIRST UNION BROKERAGE 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
FINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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