Michael T. 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.
Michael Timothy Cox MR., who also goes by Michael Timothy Cox, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 3 firms and has passed the Series 65 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2018 - July 4, 2019
EL CAPITAN ADVISORS
November 20, 2014 - February 16, 2015
WHITE BISON
August 30, 1999 - June 20, 2001
GOLDMAN SACHS & CO. LLC
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
Series 62
Date: 8/28/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
EL CAPITAN ADVISORS
CRD#: 290340 / SEC#: 801-121377
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,038 |
| AUM (Assets Under Management) | $ 7,425,381,304 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/12/2023 | ||
| 05/09/2023 |
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.
