Christopher J. 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.
Christopher Joseph Cox was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 4 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
March 29, 2011 - May 25, 2011
TRANSCEND CAPITAL
August 24, 2010 - March 11, 2011
LEGEND SECURITIES, INC.
July 27, 2001 - August 10, 2010
SOLARIS SECURITIES, INC.
February 15, 2001 - May 16, 2001
SOLARIS SECURITIES, INC.
April 12, 1999 - August 21, 2003
F1 TRADING.COM, INC.
February 9, 1998 - January 5, 1999
US TRADING LLC
October 3, 1997 - December 1, 1997
NEUTRAL SWITCH, INC.
July 2, 1997 - December 1, 1997
F1 TRADING.COM, INC.
April 1, 1996 - July 11, 1997
CASTLE SECURITIES CORP.
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 55
Date: 3/28/2001
Limited Representative-Equity Trader ExamCurrent Firm
TRANSCEND CAPITAL
CRD#: 104483 / SEC#: , 8-52946
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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