John A. Cox

Some features on this profile are disabled

CRD#: 55861

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.

John Arthur Cox was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1965. John had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

BEYOND REACH - A PARTNERSHIP. 1/4 OWNERSHIP IN A HOUSE IN MARSH HARBOR, ABACO. OWNER WITH 3 OTHERS (NOT CUSTOMERS). 1 HOUR A WEEK - NO INCOME BUT 1/4 OWNERSHIP IN HOME. Committee Member, ICE Warehouse and Licensing Committee

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

March 25, 2009 - September 17, 2025

MOORS & CABOT, INC.

RIA

CRD#: 594

Maitland, FL

Past

March 16, 2009 - September 17, 2025

MOORS & CABOT, INC.

CRD#: 594

Maitland, FL

Past

September 10, 1986 - March 26, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ORLANDO, FL

Past

July 24, 1984 - March 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ORLANDO, FL

Past

February 24, 1978 - March 16, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 6, 1976 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

April 26, 1971 - November 13, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

December 14, 1965 - June 3, 1971

GOODBODY & CO. INCORPORATED

CRD#: 362

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 5/7/1985

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/13/1965

Registered Representative Examination

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John A. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOORS & CABOT, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

GOODBODY & CO. INCORPORATED

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/5/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 5/7/1985

Series 1

Date: 12/13/1965

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors