Samantha L. 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.
Samantha Lynn Cox, who also goes by Sam Bryant, Samantha L Bryant, Samantha Lynn Bryant, Samantha Bryant Cox, Sam Cox, Samantha L Cox, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 1994. Samantha had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2016 - December 20, 2016
PLANMEMBER SECURITIES CORPORATION
October 31, 2016 - December 20, 2016
PLANMEMBER SECURITIES CORPORATION
February 21, 2012 - November 16, 2015
LPL FINANCIAL LLC
February 21, 2012 - November 16, 2015
LPL FINANCIAL LLC
April 22, 2010 - February 21, 2012
CETERA INVESTMENT SERVICES LLC
April 22, 2010 - February 21, 2012
CETERA INVESTMENT SERVICES LLC
November 12, 2008 - April 23, 2010
FARMERS FINANCIAL SOLUTIONS, LLC
March 9, 2007 - September 3, 2008
LPL FINANCIAL LLC
March 9, 2007 - September 3, 2008
LPL FINANCIAL LLC
February 13, 1995 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1994 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
