Carmen J. Cox

FREESTONE CAPITAL MANAGEMENT

SAN FRANCISCO, CA 94105

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CRD#: 6481015

Professional summary

Carmen J Cox, who also goes by Carmen Cox, Carmen Jules Cox, is a registered financial advisor currently at FREESTONE CAPITAL MANAGEMENT, LLC located in San Francisco, California.

Carmen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Carmen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carmen Cox | Carmen Jules 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) - RIA

Click below to view Carmen J Cox's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 24, 2025 - Present

FREESTONE CAPITAL MANAGEMENT, LLC

Office #1: 560 Mission Street Suite 2800, San Francisco, CA 94105

RIA

CRD#: 145711

SAN FRANCISCO, CA

Past

May 19, 2021 - March 4, 2025

MORGAN STANLEY

RIA

CRD#: 149777

San Francisco, CA

Past

May 19, 2021 - March 4, 2025

MORGAN STANLEY

CRD#: 149777

San Francisco, CA

Past

September 19, 2019 - May 3, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

September 21, 2018 - May 3, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

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".

FREESTONE CAPITAL MANAGEMENT, LLC

FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC

CRD#: 145711 / SEC#: 801-69073

RIA

Registered Investment Advisory firm - (4/25/2008 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/24/2025)

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

IAR

Series 66

Date: 9/19/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2018

General Securities Representative Examination

Current Firm

FREESTONE CAPITAL MANAGEMENT, LLC

FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC

CRD#: 145711 / SEC#: 801-69073

RIA

Registered Investment Advisory firm - (4/25/2008 Approved)

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Contact information

Main Address

701 5th Avenue 74th Floor, Seattle, WA 98104

Mailing Address

Phone number

(206) 707-7300

Established

Firm type

Fiscal year end

# of Employees

117

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FREESTONE CAPITAL MANAGEMENT LLC (8/19/2025)

Regulatory assets under management

Total Number of Accounts	6,231
AUM (Assets Under Management)	$ 11,493,619,610

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/16/2025	Cover Page	Report
11/21/2024	Cover Page	Report
09/26/2023	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.

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Firm Stability Insights

Carmen J. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carmen J Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FREESTONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2019

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2018

Current Firm

FREESTONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FREESTONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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