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Connor A. Cox
PROFFITT & GOODSON
Knoxville, TN 37919-6424
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CRD#: 7906368
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Professional summary
Connor Andrew Cox is a registered financial advisor currently at PROFFITT & GOODSON INC. located in Knoxville, Tennessee.
Connor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Connor has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
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.
Financial Planning Association of East Tennessee, Investment-related; P.O. Box 34053, Knoxville, TN 37930. Mission is to promote the value of the financial planning profession by providing quality continuing education for members, increasing public awareness of the benefits of the financial planning process and promoting high ethical standards within the profession. Serves as Board Member and Treasurer since 12/2022 through present. Approximately 2 hours per month devoted/2 hours per month devoted during securities trading hours for a total of 2 hours per month. Duties include preparation of monthly financial reports, assist with maintaining partnership relationships with sponsors and planning content for future meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Connor Andrew 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
December 6, 2024 - Present
PROFFITT & GOODSON INC.
Office #1: 4800 Old Kingston Pike, Ste 200, Knoxville, TN 37919-6424RIA
CRD#: 105278
Knoxville, TN
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".
P&
PROFFITT & GOODSON INC.
PROFFITT & GOODSON INC.
CRD#: 105278 / SEC#: 801-28292
RIA
Registered Investment Advisory firm - (11/7/1986 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
Tennessee(12/9/2024)
IAR
Texas(12/6/2024)
Exams
Current Firm
P&
PROFFITT & GOODSON INC.
PROFFITT & GOODSON INC.
CRD#: 105278 / SEC#: 801-28292
RIA
Registered Investment Advisory firm - (11/7/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4800 Old Kingston Pike, Ste 200, Knoxville, TN 37919-6424
Mailing Address
P.o. Box 11629, Knoxville, TN 37939-1629
Phone number
(865) 584-1850
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 838 |
| AUM (Assets Under Management) | $ 680,169,650 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/20/2023 | ||
| 08/26/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROFFITT & GOODSON INC.
CRD#: 105278Knoxville, TN 37919-6424TRUST BUT VERIFY
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