Thomas W. Cox

CANACCORD GENUITY WEALTH MANAGEMENT (USA)

VANCOUVER, V6E 4E5

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CRD#: 2744412

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Cox | Tom William Cox Jr

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.

CANACCORD GENUITY CORP INVESTMENT RELATED 1200 - 1133 Melville Street Vancouver, BC V6E 4E5 CANADIAN BROKER DEALER REGISTERED REPRESENTATIVE (RETAIL) 12/12/2005 40 HRS PER WEEK Ashera Holding LLC Non INVESTMENT RELATED 3025 Fairlands Drive, Reno, Nevada Seeking a patton on a piece of technology with US Patton Attorney Owner 1/16/2017 2 HRS PER WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Cox JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas William Cox JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 26, 2018 - Present

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

Office #1: 1200 - 1133 Melville Street, Vancouver, V6E 4E5Office #2: 1133 Melville Street Suite 1100, Vancouver, V6E 4E5

RIA

CRD#: 7449

VANCOUVER,

Current

December 12, 2005 - Present

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

Office #1: 1200 - 1133 Melville Street, Vancouver, V6E 4E5Office #2: 1133 Melville Street Suite 1100, Vancouver, V6E 4E5

RIA

CRD#: 7449

VANCOUVER,

Past

March 31, 2003 - December 15, 2005

RICHARDSON GMP (USA) CORP.

CRD#: 104204

VANCOUVER, BRITISH COLUMBIA,

Past

January 14, 1997 - May 14, 2003

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

CRD#: 38108

TORONTO, ONTARIO,

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".

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449 / SEC#: 801-106809, 8-21025

RIA

Registered Investment Advisory firm - SEC (11/2/2015 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/8/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(1/14/2020)

Alaska
(2/14/2006)

Arizona
(1/11/2006)

Arkansas
(7/8/2019)

California
(12/12/2005)

IAR

California
(2/26/2018)

Colorado
(2/8/2006)

Connecticut
(10/26/2011)

Delaware
(5/3/2022)

District of Columbia
(11/23/2011)

Florida
(6/9/2008)

Georgia
(1/4/2012)

Hawaii
(10/7/2010)

Idaho
(4/19/2006)

Illinois
(1/4/2011)

Indiana
(2/5/2007)

Iowa
(4/4/2018)

Kansas
(1/22/2018)

Kentucky
(2/7/2011)

Louisiana
(4/17/2007)

Maine
(12/21/2021)

Maryland
(7/23/2012)

Massachusetts
(4/4/2007)

Michigan
(1/11/2006)

Minnesota
(7/7/2021)

Mississippi
(12/10/2021)

Missouri
(9/15/2021)

Montana
(11/3/2006)

Nebraska
(2/17/2021)

Nevada
(2/22/2006)

New Hampshire
(7/7/2021)

New Jersey
(3/11/2014)

New Mexico
(4/19/2007)

New York
(2/21/2006)

North Carolina
(5/29/2007)

North Dakota
(7/22/2025)

Ohio
(11/13/2015)

Oklahoma
(12/15/2005)

Oregon
(10/13/2010)

Pennsylvania
(8/9/2016)

Puerto Rico
(8/21/2023)

Rhode Island
(4/24/2019)

South Carolina
(2/24/2017)

South Dakota
(4/8/2011)

Tennessee
(9/6/2017)

Texas
(9/25/2014)

Utah
(6/3/2016)

Vermont
(8/11/2021)

Virginia
(1/3/2014)

Washington
(12/12/2005)

Wisconsin
(1/12/2006)

Wyoming
(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

State Security Law Exam

IAR

Series 65

Date: 6/7/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 37

Date: 5/30/1996

Canada Module of the General Securities Registered Representative (With Options Questions)

Principal/Supervisory Exam

Series 24

Date: 11/27/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449 / SEC#: 801-106809, 8-21025

RIA

Registered Investment Advisory firm - SEC (11/2/2015 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/8/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5

Mailing Address

Pmb 2300 250 H Street, Blaine, WA 98230-4018

Phone number

(604) 643-7300

Established

Minnesota since 07/06/1976

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. (6/30/2025)

Direct owners and executive officers

Name	Position	CRD#
CANACCORD ADAMS FINANCIAL GROUP INC.	EQUITY OWNER
BEGIS, SELIM	INTERIM CHIEF COMPLIANCE OFFICER	2760484
COX, THOMAS WILLIAM JR	PRESIDENT	2744412
MACFAYDEN, DONALD DUNCAN	OPERATIONS PRINCIPAL	5390198
MACFAYDEN, DONALD DUNCAN	CFO, FINANCIAL PRINCIPAL	5390198

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 101,217,366

Disclosures

Regulatory Event	13
Arbitration	5

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.

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Firm Stability Insights

Thomas W. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

RICHARDSON GMP (USA) CORP.

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

Primary Firm SEC Registration

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/7/2016

Series 63

Date: 10/1/1996

SIE

Date: 10/1/2018

Series 37

Date: 5/30/1996

Series 24

Date: 11/27/2014

FINRA

Current Firm

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

TRUST BUT VERIFY

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