David Anthony Cox

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2007 → 04/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
• 11/2009 → 04/2021
  Bank Of America,Na
  Dallas, TX
• 05/2021 → Present
  Oppenheimer & Co, Inc
  Houston, TX

Previous Registrations

• 2009-10-23 → 2021-04-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
  Dallas, TX
  Houston, TX
• 2007-11-21 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Dallas, TX
  Addison, TX

Other Businesses

1.I INHERITED A TRUST FROM MY MOTHER THE TRUST DOES HOLD SECURITIES & REAL ESTATE ADDRESS:IS MY RESIDENCE. I SPEND 1 HOUR A MONTH WORKING ON THE TRUST. 2.TTEE OF L&D FAMILY TRUST, INVESTMENT RELATED. LEGAL ADDRESS OF THE TRUST IS MY LEGAL RESIDENCE. APPOINTED TO TTEE BY MY MOTHER ON MAY 15, 2014. HOURSE OBLIGATED LESS THAN 1 PER WEEK.

Exams

• S66 Uniform Combined State Law Examination
  2007-11-20