Robert B. Cox
Professional summary
Robert Broglia Cox is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 8 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Broglia Cox's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2014 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 692 Montauk Highway, Watermill, NY 11976June 27, 2013 - July 29, 2014
KGS-ALPHA CAPITAL MARKETS, L.P.
October 20, 2010 - April 29, 2013
FHN FINANCIAL SECURITIES CORP.
October 15, 2008 - October 25, 2010
GLEACHER & COMPANY SECURITIES, INC.
April 9, 2007 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
April 24, 2002 - April 3, 2006
J.P. MORGAN SECURITIES LLC
March 2, 2000 - May 3, 2002
HSBC SECURITIES (USA) INC.
December 2, 1998 - December 1, 2000
MORGAN STANLEY DW 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
(12/3/2020)
(12/3/2020)
(11/11/2014)
Exams
Series 52TO
Date: 4/26/2023
Municipal Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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