SC
Stephen J. Cox
GALLAGHER SECURITIES,
New York, NY 10017
Some features on this profile are disabled
CRD#: 6627434
SC
Professional summary
Stephen James Cox is a registered financial professional currently at GALLAGHER SECURITIES, INC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen James Cox's 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®
NoneExperience
Current
March 20, 2025 - Present
GALLAGHER SECURITIES, INC
Office #1: 300 Madison Avenue 28th Floor, New York, NY 10017Office #2: 300 Madison Avenue 28th Floor, New York, NY, 10017RIA
BD
CRD#: 116605
New York, NY
Past
June 30, 2016 - December 31, 2018
GALLAGHER SECURITIES, INC
BD
CRD#: 116605
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/21/2025)
RR
Alaska(5/21/2025)
RR
Arizona(5/21/2025)
RR
Arkansas(5/21/2025)
RR
California(5/21/2025)
RR
Colorado(5/21/2025)
RR
Connecticut(5/21/2025)
RR
Delaware(5/21/2025)
RR
District of Columbia(5/21/2025)
RR
Florida(5/21/2025)
RR
Georgia(5/21/2025)
RR
Hawaii(5/21/2025)
RR
Idaho(5/21/2025)
RR
Illinois(5/21/2025)
RR
Indiana(5/21/2025)
RR
Iowa(5/21/2025)
RR
Kansas(5/21/2025)
RR
Kentucky(5/21/2025)
RR
Louisiana(5/21/2025)
RR
Maine(5/21/2025)
RR
Maryland(5/21/2025)
RR
Massachusetts(5/21/2025)
RR
Michigan(5/21/2025)
RR
Minnesota(5/21/2025)
RR
Mississippi(5/21/2025)
RR
Missouri(5/21/2025)
RR
Montana(5/21/2025)
RR
Nebraska(5/21/2025)
RR
Nevada(5/21/2025)
RR
New Hampshire(3/20/2025)
RR
New Jersey(5/21/2025)
RR
New Mexico(5/21/2025)
RR
New York(5/21/2025)
RR
North Carolina(5/21/2025)
RR
North Dakota(5/21/2025)
RR
Ohio(5/21/2025)
RR
Oklahoma(5/21/2025)
RR
Oregon(5/21/2025)
RR
Pennsylvania(5/21/2025)
RR
Puerto Rico(5/21/2025)
RR
Rhode Island(5/21/2025)
RR
South Carolina(5/21/2025)
RR
South Dakota(5/21/2025)
RR
Tennessee(5/21/2025)
RR
Texas(5/21/2025)
RR
Utah(5/21/2025)
RR
Vermont(5/21/2025)
RR
Virginia(5/21/2025)
RR
Washington(5/21/2025)
RR
West Virginia(5/21/2025)
RR
Wisconsin(5/21/2025)
RR
Wyoming(5/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/6/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/12/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GALLAGHER SECURITIES, INC
GALLAGHER SECURITIES INC. | WILLIS SECURITIES, INC. | WILLIS EQUITIES, INC. | WILLIS CAPITAL MARKETS | GALLAGHER SECURITIES, INC
CRD#: 116605 / SEC#: , 8-53563
New York
Registered Investment Advisory firm - SEC (8/14/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Madison Avenue 28th Floor, New York, NY, 10177
Mailing Address
300 Madison Avenue 28th Floor, New York, NY, 10017
Phone number
(212) 309-3494
Established
Delaware since 06/27/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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