EC
Eddie D. Cox
KEYSTONE FINANCIAL GROUP
Lexington, KY 40503
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CRD#: 4314423
EC
Professional summary
Eddie Dewayne Cox is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Lexington, Kentucky and LPL FINANCIAL LLC located in Lexington, Kentucky.
Eddie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Eddie has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 08/08/2011 - OTHER-TAX PURPOSES ONLY - COX WEALTH MANAGEMENT, INC. - S CORP FOR TAX PURPOSES ONLY FOR LPL BUSINESS, NOT GIVEN PUBLICLY TO CLIENTS OR ADVERTISED. - LEXINGTON, KY
2. 04/25/2014 - KEYSTONE FINANCIAL GROUP - REGISTERED INVESTMENT ADVISOR - KEYSTONE FINANCIAL GROUP - TIME SPENT 50% - LEXINGTON, KY
3. 11/21/2014 - KEYSTONE FINANCIAL GROUP, LLC - REGISTERED INVESTMENT ADVISOR HYBRID - TIME SPENT 80 HOURS PER MONTH - LEXINGTON, KY
4) 09/18/2017-Keystone Financial Group-Investment related- At reported business location(s)- DBA for LPL Business (entity for LPL business)-start 04/01/2014-Hours per month 60/ hours during trading 7
CRS (Client Relationship Summary) - RIA
Click below to view Eddie Dewayne Cox's 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®
NoneExperience
Current
March 31, 2014 - Present
KEYSTONE FINANCIAL GROUP, LLC
Office #1: 527 Wellington Way, Ste 225, Lexington, KY 40503RIA
CRD#: 170201
Lexington, KY
Current
May 15, 2009 - Present
LPL FINANCIAL LLC
Office #1: 527 Wellington Way #225, Lexington, KY 40503-1375RIA
BD
CRD#: 6413
Lexington, KY
Past
May 15, 2009 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
December 15, 2006 - May 27, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LEXINGTON, KY
Past
December 15, 2006 - May 27, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LEXINGTON, KY
Past
October 28, 2003 - December 20, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LEXINGTON, KY
Past
January 12, 2001 - December 20, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
LEXINGTON, KY
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".
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 Approved)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.RR
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
RR
Florida(8/4/2017)
RR
Indiana(5/15/2009)
RR
Kentucky(5/15/2009)
IAR
Kentucky(3/31/2014)
RR
New York(5/15/2009)
RR
Tennessee(9/23/2024)
RR
Virginia(7/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KEYSTONE FINANCIAL GROUP, LLC
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
CRD#: 170201 / SEC#: 801-79274
RIA
Registered Investment Advisory firm - (2/26/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
527 Wellington Way, Ste 225, Lexington, KY 40503
Mailing Address
Phone number
(859) 317-8316
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,153 |
| AUM (Assets Under Management) | $ 1,858,938,537 |
Red Flags
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Company Information
KEYSTONE FINANCIAL GROUP, LLC
CRD#: 170201Lexington, KY 40503TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
