Thomas William Cox Jr
Professional Summary
Thomas William Cox JR, who also goes by Thomas William Cox, Tom William Cox Jr, is a registered financial advisor currently at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 37 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas William Cox, Tom William Cox Jr
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
Contact Information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018Phone Number
(604) 643-7300Established
Minnesota since 07/06/1976Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
32SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
114AUM (Assets Under Management)
$135,455,625Disclosures
Regulatory Event
13Arbitration
5Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
State Registrations and Notice Filings
(1/14/2020)
(2/14/2006)
(1/11/2006)
(7/8/2019)
(12/12/2005)
(2/26/2018)
(2/8/2006)
(10/26/2011)
(5/3/2022)
(11/23/2011)
(6/9/2008)
(1/4/2012)
(10/7/2010)
(4/19/2006)
(1/4/2011)
(2/5/2007)
(4/4/2018)
(1/22/2018)
(2/7/2011)
(4/17/2007)
(12/21/2021)
(7/23/2012)
(4/4/2007)
(1/11/2006)
(7/7/2021)
(12/10/2021)
(9/15/2021)
(11/3/2006)
(2/17/2021)
(2/22/2006)
(7/7/2021)
(3/11/2014)
(4/19/2007)
(2/21/2006)
(5/29/2007)
(7/22/2025)
(11/13/2015)
(12/15/2005)
(10/13/2010)
(8/9/2016)
(8/21/2023)
(4/24/2019)
(2/24/2017)
(4/8/2011)
(9/6/2017)
(9/25/2014)
(6/3/2016)
(8/11/2021)
(1/3/2014)
(12/12/2005)
(1/12/2006)
(10/7/2010)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed May 1996SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Cox JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Cox JR's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
