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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian William Cox is an active investment advisor representative with UBS Financial Services Inc. Brian has been in the industry since 1996. Brian has been registered with UBS Financial Services Inc. since 2014 and was previously registered with PAINEWEBBER INCORPORATED and PIPER JAFFRAY INC.. Brian is licensed in 22 states including Arizona, California, Colorado, Florida, Illinois, Iowa, Massachusetts, Michigan, Minnesota, Montana, Nevada, North Carolina, North Dakota, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Virginia, Washington and Wisconsin. Brian is a Series 7, Series 63, and Series 65 licensed professional. Brian's registrations include the Securities Industry Essentials Examination, Uniform Securities Agent State Law Examination, and Uniform Investment Adviser Law Examination. Brian has experience in providing financial planning services, portfolio management for businesses and individuals, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MN
02/04/2014 - Present
UBS Financial Services Inc. (WAYZATA MN)
NA
03/20/1998 - 04/13/1998
PAINEWEBBER INCORPORATED
MN
10/08/1996 - 04/01/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 07/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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