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Detailed Report
WARREN RICHARDS COX
CRD#: 1211825
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 18500 LAKE ROAD
SUITE 400
ROCKY RIVER, OH 44116
Registration History
1985199019952000200520102015202020252 FIRMS2007 - Present (18 years)BMCDONALD INVESTMENTS INC. (CRD# 566)1996 - 2007 (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1990 - 1996 (6 years)BMCDONALD & COMPANY SECURITIES,... (CRD# 566)1984 - 1990 (6 years)BPRESCOTT, BALL & TURBEN, INC. (CRD# 7656)1984 - 1984 (<1 year)IAMCDONALD INVESTMENTS INC. (CRD# 566)1999 - 2007 (7 years)
Disclosure(s)
View By:
2/8/2000
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/9/2007
B
New Hampshire 2/9/2007
IA
California 2/9/2007
B
New York 2/9/2007
B
California 11/9/2015
B
North Carolina 12/15/2014
B
Colorado 2/9/2007
B
Ohio 2/9/2007
B
District of Columbia 10/28/2016
IA
Ohio 2/9/2007
B
Florida 2/9/2007
B
Oregon 5/3/2023
IA
Florida 2/9/2007
B
Pennsylvania 1/20/2023
B
Georgia 10/18/2013
B
South Carolina 2/9/2007
B
Illinois 2/9/2007
B
Texas 2/9/2007
B
Indiana 2/9/2007
IA
Texas 2/12/2007
B
Maryland 1/9/2014
B
Vermont 12/17/2021
B
Massachusetts 2/9/2007
B
Virginia 2/13/2009
B
Michigan 2/10/2007
B
Washington 3/21/2011
B
Nevada 5/22/2017
B
Wisconsin 11/9/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
18500 LAKE ROAD SUITE 400, ROCKY RIVER, OH 44116
Registered with this firm since 2/9/2007
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
18500 LAKE ROAD SUITE 400, ROCKY RIVER, OH 44116
Registered with this firm since 2/9/2007
Previous Registration(s)
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IA
 11/22/1999 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) ROCKY RIVER, OH
B
 10/04/1996 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) ROCKY RIVER, OH
B
 10/15/1990 - 10/09/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 07/10/1984 - 10/08/1990 MCDONALD & COMPANY SECURITIES, INC. (CRD#:566) CLEVELAND, OH
B
 01/25/1984 - 06/29/1984 PRESCOTT, BALL & TURBEN, INC. (CRD#:7656)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.