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BRIAN WILLIAM COX
BRIAN WILLIAM COT
CRD#: 2776230
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 681 EAST LAKE STREET
WAYZATA, MN 55391
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - Present (26 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1998 - 1998 (<1 year)BPIPER JAFFRAY INC. (CRD# 665)1996 - 1998 (1 year)
Disclosure(s)
View By:
2/28/2022
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/13/2006

B
Nevada 6/13/2006

B
California 10/7/1998

B
New York 10/24/2024

B
Colorado 6/13/2006

B
North Carolina 7/17/2007

B
Connecticut 9/30/2024

B
North Dakota 6/13/2006

B
Florida 6/13/2006

B
Pennsylvania 6/13/2006

B
Illinois 6/21/2006

B
South Carolina 6/13/2006

B
Indiana 12/10/2024

B
South Dakota 6/13/2006

B
Iowa 1/8/2008

B
Tennessee 1/11/2018

B
Massachusetts 7/7/2006

B
Texas 1/11/2018

B
Michigan 6/13/2006

B
Virginia 11/12/2010

B
Minnesota 4/13/1998

B
Washington 6/13/2006

IA
Minnesota 2/4/2014

B
Wisconsin 6/13/2006

B
Montana 1/11/2018

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

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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)
681 EAST LAKE STREET, WAYZATA, MN 55391
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Registered with this firm since 2/4/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET, WAYZATA, MN 55391
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Registered with this firm since 4/13/1998

Previous Registration(s)
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B
03/20/1998 - 04/13/1998 PAINEWEBBER INCORPORATED (CRD#:8174)
B
10/08/1996 - 04/01/1998 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
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.