Michael S. Cox

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CRD#: 846068

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.

Michael Stephen Cox was a registered financial advisor .

Michael is a previously registered financial advisor and started their career in finance in 1977. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 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.

The advisor shows no other business activity.

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

October 1, 2010 - March 7, 2013

FULCRUM ADVISORY SERVICES, LLC

RIA

CRD#: 131777

ST. LOUIS, MO

Past

September 30, 2010 - March 7, 2013

FULCRUM SECURITIES, LLC

CRD#: 140084

RADNOR, PA

Past

April 22, 2005 - October 4, 2010

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

MEDIA, PA

Past

September 23, 2003 - October 4, 2010

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

MEDIA, PA

Past

June 26, 2003 - October 14, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

THORNDALE, PA

Past

October 1, 2000 - October 14, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 8, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

June 16, 1999 - June 16, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 25, 1991 - April 19, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 20, 1987 - June 27, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 6, 1983 - August 31, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 5, 1977 - April 7, 1983

FIFTH THIRD SECURITIES, INC.

CRD#: 628

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/12/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/28/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/17/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

FULCRUM ADVISORY SERVICES, LLC

FULCRUM ADVISORY SERVICES, INC. | OFK ADVISORY SERVICES,INC. | FULCRUM ADVISORY SERVICES, LLC

CRD#: 131777 / SEC#: 801-65303

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Contact information

Main Address

11975 Westline Industrial Drive, St. Louis, MO 63146

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

2016 FULCRUM ADVISORY SERVICES, LLC - BROCHURE (6/6/2016)

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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Advisor Monitoring

Firm Stability Insights

Michael S. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FULCRUM SECURITIES, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/1994

Series 63

Date: 3/10/1981

Series 3

Date: 1/12/1984

Series 7

Date: 11/19/1977

Series 10

Date: 1/28/2002

Series 9

Date: 12/17/2001

Current Firm

FULCRUM ADVISORY SERVICES, LLC

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

FULCRUM ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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