Individual Firm
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WARREN RICHARDS COX
CRD#: 1211825
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 18500 LAKE ROAD
SUITE 400
ROCKY RIVER, OH 44116
SUITE 400
ROCKY RIVER, OH 44116
View By:
2/8/2000
Customer Dispute
Denied
State Registrations
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Arizona 2/9/2007
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New Hampshire 2/9/2007
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California 2/9/2007
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New York 2/9/2007
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California 11/9/2015
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North Carolina 12/15/2014
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Colorado 2/9/2007
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Ohio 2/9/2007
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District of Columbia 10/28/2016
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Ohio 2/9/2007
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Florida 2/9/2007
B
Oregon 5/3/2023
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Florida 2/9/2007
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Pennsylvania 1/20/2023
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Georgia 10/18/2013
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South Carolina 2/9/2007
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Illinois 2/9/2007
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Texas 2/9/2007
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Indiana 2/9/2007
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Texas 2/12/2007
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Maryland 1/9/2014
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Vermont 12/17/2021
B
Massachusetts 2/9/2007
B
Virginia 2/13/2009
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Michigan 2/10/2007
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Washington 3/21/2011
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Nevada 5/22/2017
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Wisconsin 11/9/2015
SRO Registrations
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Registered with this firm since 2/9/2007
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Registered with this firm since 2/9/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/22/1999 - 02/09/2007 | ROCKY RIVER, OH | |
B | 10/04/1996 - 02/09/2007 | ROCKY RIVER, OH | |
B | 10/15/1990 - 10/09/1996 | PURCHASE, NY | |
B | 07/10/1984 - 10/08/1990 | CLEVELAND, OH | |
B | 01/25/1984 - 06/29/1984 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.