Lantz L. Cox

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CRD#: 4845688

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.

Lantz Lewayne Cox, who also goes by Lantz L Cox, Lantz Cox, was a registered financial professional .

Lantz is a previously registered financial professional and started their career in finance in 2004. Lantz had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lantz L Cox | Lantz Cox

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

January 27, 2017 - May 10, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

June 2, 2016 - May 10, 2017

SCOTTRADE, INC.

CRD#: 8206

MT.PLEASANT, SC

Past

October 6, 2014 - May 23, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

COLUMBIA, SC

Past

September 23, 2014 - May 23, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

COLUMBIA, SC

Past

September 22, 2014 - May 23, 2016

TD AMERITRADE, INC.

CRD#: 7870

COLUMBIA, SC

Past

May 28, 2014 - September 24, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

COLUMBIA, SC

Past

May 27, 2014 - September 24, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

COLUMBIA, SC

Past

March 25, 2014 - May 21, 2014

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBIA, SC

Past

March 6, 2014 - May 21, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

COLUMBIA, SC

Past

December 19, 2008 - May 15, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLOMBIA, SC

Past

December 16, 2008 - May 15, 2013

LPL FINANCIAL LLC

CRD#: 6413

COLOMBIA, SC

Past

April 16, 2008 - June 16, 2008

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

CHARLESTON, SC

Past

October 24, 2006 - March 24, 2008

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

FLORENCE, SC

Past

August 9, 2006 - March 24, 2008

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

FLORENCE, SC

Past

December 8, 2004 - December 2, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

IAR

Series 65

Date: 10/19/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE INVESTMENT MANAGEMENT | SCOTTRADE INVESTMENT MANAGEMENT, INC.

CRD#: 169988 / SEC#: 801-79217

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Contact information

Main Address

700 Maryville Centre Drive, Saint Louis, MO 63141

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADVISOR ACCESS FROM SCOTTRADE INVESTMENT MANAGEMENT (1/2/2018)

GUIDANCE SOLUTIONS FROM SCOTTRADE INVESTMENT MANAGEMENT (12/6/2017)

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.

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Advisor Monitoring

Firm Stability Insights

Lantz L. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCOTTRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BB&T ASSET MANAGEMENT, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2006

Series 63

Date: 10/4/2004

SIE

Date: 5/10/2017

Series 7

Date: 8/18/2014

Series 6

Date: 12/7/2004

Current Firm

SCOTTRADE INVESTMENT MANAGEMENT

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

SCOTTRADE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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