Paul D. 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.
Paul David Cox was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2001. Paul had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2010 - October 10, 2017
FCI ADVISORS
November 9, 2001 - November 25, 2002
KENNEDY CAPITAL MANAGEMENT
Primary Firm SEC Registration
FCI ADVISORS
CRD#: 106398 / SEC#: 801-48195
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
FCI ADVISORS
CRD#: 106398 / SEC#: 801-48195
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 740 |
| AUM (Assets Under Management) | $ 1,902,330,516 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/25/2024 | ||
| 12/29/2023 | ||
| 11/29/2022 |
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.
