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JC

Jerome Cox

Some features on this profile are disabled
CRD#: 4842657
JC

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.

Jerome Cox was a registered financial professional .

Jerome is a previously registered financial professional and started their career in finance in 2005. Jerome had worked at 2 firms and has passed the Series 63 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 2, 2007 - June 12, 2014

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
NEW YORK, NY
Past

March 14, 2005 - October 9, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52
Date: 3/11/2005
Municipal Securities Representative Examination

Current Firm

RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.

CRD#: 21606 / SEC#: , 8-39085

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICE DERIVATIVE HOLDINGS, L.P.SHAREHOLDER
DEGIULO, THOMAS EDWARDROSFP2351167
NAZZARENO, KARENFINOP5813844
RICE, JAMES DONALD JRCHAIRMAN, CEO, CCO1414533

Disclosures

Regulatory Event6

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.

Company Information

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

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