Articles Tagged with Donald Cox

Donald CoxPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Donald Cox is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 716663).

Donald Cox has spent 38 years in the securities industry and has been registered with Raymond James & Associates in Wyandotte, Michigan and Naples, Florida since 2004. Previous registrations include JJB Hilliard WL Lyons in Louisville, Kentucky (1997-2004) and First of Michigan Corporation in Detroit, Michigan (1980-1997). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 6, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on May 18, 1984; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 27, 1986. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Florida, Iowa, Michigan, the US Virgin Islands, and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one regulatory sanction.