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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren Richards Cox is an investment advisor representative with UBS Financial Services Inc. Warren Cox has been in the industry since 1984. Warren Cox is a registered investment advisor and has the Series 63, Series 65, Series 7, Series 8 and Series 31 securities licenses. Warren Cox has also earned the Series SIE license. Warren Cox is also registered in 29 states, including California, Florida, Ohio, Texas, New York and Arizona. Warren Cox has previously been affiliated with McDonald Investments Inc., Dean Witter Reynolds Inc., McDonald & Company Securities, Inc., and Prescott, Ball & Turben, Inc.
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
OH
02/12/2007 - Present
UBS Financial Services Inc. (ROCKY RIVER OH)
OH
10/04/1996 - 02/09/2007
MCDONALD INVESTMENTS INC. (ROCKY RIVER OH)
NY
10/15/1990 - 10/09/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
OH
07/10/1984 - 10/08/1990
MCDONALD & COMPANY SECURITIES, INC. (CLEVELAND OH)
NA
01/25/1984 - 06/29/1984
PRESCOTT, BALL & TURBEN, INC.
IA
Issued 10/31/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1984
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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