Bruce O. 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.
Bruce Orville Cox was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1972. Bruce had worked at 8 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2015 - December 31, 2016
NEXT FINANCIAL GROUP, INC.
April 30, 2001 - November 4, 2015
J.P. TURNER & COMPANY, L.L.C.
August 10, 1993 - May 10, 2001
PAULSON INVESTMENT COMPANY LLC
January 19, 1988 - August 17, 1993
COVEY & CO., INC.
March 30, 1984 - January 20, 1988
MERLIN EQUITIES INC.
September 19, 1974 - April 16, 1984
OLSEN & COMPANY
August 23, 1973 - October 17, 1974
A & O SECURITIES INC
December 11, 1972 - October 26, 1973
GREGERSEN & CO.
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
Series 1
Date: 12/1/1972
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
