Elliott C. 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.
Elliott Charles Cox II was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1997. Elliott had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
April 24, 2017 - May 9, 2019
SECURITIES AMERICA, INC.
September 10, 2012 - April 24, 2017
TRADINGBLOCK
August 19, 2009 - February 15, 2011
BROKERSXPRESS LLC
September 25, 2008 - January 16, 2009
BROKERSXPRESS LLC
September 22, 2008 - September 4, 2012
BROKERSXPRESS LLC
June 13, 2005 - September 25, 2008
FIRST ALLIED SECURITIES, INC.
April 21, 2003 - June 13, 2005
ROUND HILL SECURITIES, INC.
December 21, 2001 - April 28, 2003
FIRST ALLIED SECURITIES, INC.
October 29, 1998 - January 8, 2002
HOTOVEC, POMERANZ & CO., LLC
June 4, 1998 - July 28, 1998
EDWARD JONES
May 2, 1997 - May 28, 1998
RIDGEWAY HELMS SECURITIES CORPORATION
May 1, 1997 - May 13, 1997
THE HERITAGE GROUP, INC.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 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.
