Elizabeth C. Cox
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.
Elizabeth Craige Cox, who also goes by Libby Cox, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1979. Elizabeth had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - April 13, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 22, 1998 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 1, 1997 - March 31, 1997
CRESTAR SECURITIES CORPORATION
June 14, 1994 - January 23, 1995
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 17, 1994 - January 1, 1997
CITIZENS BROKERAGE SERVICES, INC.
April 26, 1994 - May 18, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 25, 1994 - April 26, 1994
BANC OF AMERICA SECURITIES LLC
November 2, 1990 - May 4, 1994
MNB BROKERAGE ALTERNATIVE, INC.
March 13, 1990 - May 18, 1990
ALEX. BROWN & SONS INCORPORATED
May 20, 1986 - January 7, 1988
PREFERRED BROKERAGE SERVICE, INC.
November 15, 1983 - November 1, 1984
FIRST UNION BROKERAGE SERVICES, INC.
February 28, 1980 - August 31, 1983
FIRST UNION BROKERAGE SERVICES, INC.
September 19, 1979 - March 1, 1980
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
