AC
Andrew N. Cox
INTERACTIVE BROKERS LLC
Greenwich, CT 06830
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CRD#: 7066773
AC
Professional summary
Andrew Noah Cox, who also goes by Andrew Cox, is a registered financial professional currently at INTERACTIVE BROKERS LLC located in Greenwich, Connecticut.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2019. Andrew has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew 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.
(1) NAME: ANDREW COX INV REL: Y ADD: 565 TAXTER RD, STE. 525, ELMSFORD, NY 10523 NATURE: INSURANCE SALES - PROPERTY AND CASUALTY POSITION: INDEPENDENT INSURANCE AGENT START DATE: 04/01/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: SALES AND SERVICE OF OUTSIDE INSURANCE (2) NAME: BARNUM BENEFIT ADVISORS INV REL:Y ADDR: 565 TAXTER RD STE 525 ELMSFORD NY 10523 NATURE: OUTSIDE INSURANCE - LIFE, DISABILITY, PROPERTY AND CASUALTY, LONG-TERM CARE, FIXED ANNUITIES, HEALTH POSITION: PROPERTY & CASUALTY SPECIALIST START DATE: 04/01/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 2 DUTIES: SELLING P&C INSURANCE POLICIES
CRS (Client Relationship Summary) - BD
Click below to view Andrew Noah 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
January 16, 2025 - Present
INTERACTIVE BROKERS LLC
Office #1: Pickwick Plaza, Greenwich, CT 06830BD
CRD#: 36418
Greenwich, CT
Past
October 8, 2021 - March 15, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ELMSFORD, NY
Past
October 8, 2021 - March 15, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ELMSFORD, NY
Past
August 16, 2021 - August 30, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WHITE PLAINS, NY
Past
April 29, 2020 - August 30, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WHITE PLAINS, NY
Past
April 5, 2019 - April 22, 2020
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
WHITE PLAINS, 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
Connecticut(1/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IB
INTERACTIVE BROKERS LLC
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
One Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5710
Established
Connecticut since 03/09/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
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.
