RC
Ronan D. Cox
ARETE WEALTH ADVISORS
New York, NY 10004
Some features on this profile are disabled
CRD#: 2693480
RC
Professional summary
Ronan David Cox, who also goes by Ron Cox, is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in New York, New York and ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Ronan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ronan has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron 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) INDEPENDENT INSURANCE AGENT: NY, NY; START DATE 07/2022, FULL TIME; INVESTMENT RELATED...(2) CLOTHES FOR KIDS TO FAIRFIELD COUNTY, CHARITABLE GIVING OF NEW / SLIGHTLY USED CLOTHES TO IMPOVERESHED CHILDREN, DIRECTOR, STAMFORD, CT ZERO HRS PER MONTH, NOT INVESTMENT RELATED...(3) CHRISTIE-COX GROUP: PARTNER, DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; INVESTMENT RELATED; FULL TIME... (4) FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED... (5) FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED... (6) FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; NY, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. Solution Shop - Director, 99 Hudson Street Floor 5, New York City NY, 10013; consulting on installation, and servicing of trading turrets, and PBX systems for tele / data communications. 1 Hour per month not during trading hours. Start date 11/01/2023.
CRS (Client Relationship Summary) - RIA
Click below to view Ronan David 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
July 20, 2022 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004RIA
CRD#: 145488
New York, NY
Current
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004BD
CRD#: 44856
New York, NY
Past
February 25, 2019 - July 21, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
February 22, 2019 - July 21, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
August 14, 2015 - February 27, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
November 24, 2010 - August 25, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
November 24, 2010 - August 25, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
June 1, 2009 - December 1, 2010
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - December 1, 2010
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NEW YORK, NY
Past
May 23, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NEW YORK, NY
Past
September 3, 1998 - May 22, 2001
GRAYSON FINANCIAL LLC
BD
CRD#: 11764
RED BANK, NJ
Past
January 29, 1996 - August 27, 1998
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
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".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 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
Arizona(7/20/2022)
RR
California(7/20/2022)
RR
Connecticut(10/18/2024)
RR
Delaware(8/22/2023)
RR
District of Columbia(7/20/2022)
RR
Florida(7/20/2022)
IAR
Florida(1/11/2023)
RR
Georgia(9/18/2025)
RR
Hawaii(8/11/2022)
RR
Illinois(8/8/2022)
RR
Iowa(7/20/2022)
RR
Kansas(7/20/2022)
RR
Maryland(7/20/2022)
RR
Massachusetts(7/22/2022)
RR
New Hampshire(7/20/2022)
RR
New Jersey(7/20/2022)
RR
New Mexico(7/20/2022)
RR
New York(7/20/2022)
IAR
New York(7/20/2022)
RR
Ohio(7/20/2022)
RR
Pennsylvania(7/20/2022)
RR
South Carolina(2/22/2024)
RR
Tennessee(7/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
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.
