Christopher N. 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.
Christopher Nixon Cox was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2007. Christopher had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2016 - September 6, 2018
CAPFI PARTNERS LLC
May 10, 2011 - October 27, 2014
PACIFIC CENTURY SECURITIES, LLC
July 1, 2009 - November 12, 2010
EQUUS FINANCIAL CONSULTING LLC
October 22, 2008 - July 1, 2009
NEWOAK CAPITAL MARKETS LLC
August 8, 2007 - October 20, 2008
REVERE SECURITIES 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
Current Firm
CAPFI PARTNERS LLC
CRD#: 113795 / SEC#: , 8-53406
Contact information
Disclosures
| Regulatory Event | 3 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| New York | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Virginia | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
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.
