Individual Firm
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THOMAS PATRICK COX
THOMAS W COX, THOMAS WILLIAM COX
CRD#: 1445836
IA
B
MORGAN STANLEYCRD#: 149777 61 South Paramus Road
3Rd Floor
Paramus, NJ 07652
3Rd Floor
Paramus, NJ 07652
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9/16/2003
Customer Dispute
Denied
5/6/2003
Customer Dispute
Settled
10/14/1994
Customer Dispute
Award / Judgment
State Registrations
B
Connecticut 4/4/2024
B
New Jersey 10/19/2015
B
Florida 12/11/2015
B
New York 10/20/2015
B
Maryland 3/4/2024
B
Tennessee 4/10/2023
B
Michigan 8/30/2021
B
Texas 9/10/2024
B
Nevada 11/2/2021
IA
Texas 9/13/2024
IA
New Jersey 10/2/2015
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/2/2015
B
Registered with this firm since 10/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/11/2011 - 08/15/2014 | BIRMINGHAM, AL | |
B | 11/12/2010 - 08/15/2014 | NEW YORK, NY | |
B | 03/24/2008 - 12/10/2009 | NEW YORK, NY | |
IA | 07/18/2002 - 04/04/2008 | NEW YORK, NY | |
B | 07/31/1993 - 04/04/2008 | NEW YORK, NY | |
B | 02/07/1986 - 07/31/1993 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.