Karl D. 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.
Karl Dewayne Cox, who also goes by Dewayne Cox, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1996. Karl had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 1998 - November 15, 2001
ACCESS BROKER.COM, INC.
July 23, 1997 - May 19, 1998
SUPERIOR FINANCIAL GROUP, INC.
June 13, 1997 - July 25, 1997
SII INVESTMENTS, INC.
March 22, 1996 - December 17, 1996
MONEY CONCEPTS CAPITAL 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
Current Firm
ACCESS BROKER.COM, INC.
CRD#: 44420 / SEC#: , 8-50691
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLEY, DUEWAYNE HANDLEY | PRESIDENT/CEO/BOARD OF DIRECTORS | 2341082 |
| COX, KARL DEWAYNE | SHAREHOLDER/ BOARD OF DIRECTORS | 2726206 |
| KLICK, DAVID KEITH | SHAREHOLDER/ BOARD OF DIRECTORS | 2726210 |
| GOODWIN, JAMES CHRISTOPHER | BOAD OF DIRECTORS | |
| BARTKOWIAK, DARLA KERLEE | BOARD OF DIRECTORS | 1065868 |
| COOPER, RICHARD CASH | CHIEF FINANCIAL OFFICER/FINOP/BOARD OF DIRECTORS | 3003698 |
| JALALI, MUSTAFA ABDULRAHIM | BOARD OF DIRECTORS | 3217587 |
| MONTGOMERY, WILLIAM L | BOARD OF DIRECTORS | |
| SMITH, KENNETH GEORGE JR | VICE-PRESIDENT/CORPORATE SECRETARY | 2850936 |
| TYGART, W. BARGER | BOARD OF DIRECTORS |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
