Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas James Cox is a financial advisor with over 25 years of experience in the industry. Thomas is currently registered with Stifel, Nicolaus & Company, Inc. and Keefe, Bruyette & Woods, Inc., both of which are active in both Broker-Dealer and Investment Advisor capacities. Prior to his current roles, Thomas has also held positions at B. RILEY & CO., LLC, CARIS & COMPANY, INC., ELECTRONIC TRADING GROUP, LLC, A.B. WATLEY, INC., ON-SITE TRADING, INC., and GKN SECURITIES CORP.
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.
1
2
NY
06/13/2018 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
12/19/2012 - 04/02/2013
B. RILEY & CO., LLC (NEW YORK NY)
NY
02/07/2005 - 12/17/2012
CARIS & COMPANY, INC. (NEW YORK NY)
NY
04/15/2002 - 01/10/2005
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
NY
01/28/2002 - 04/09/2002
A.B. WATLEY, INC. (NEW YORK NY)
NY
08/12/1998 - 10/22/2001
ON-SITE TRADING, INC. (GREAT NECK NY)
NY
08/23/1995 - 08/04/1998
GKN SECURITIES CORP. (NEW YORK NY)
BC
Issued 11/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/23/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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