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Michael Daniel Cox

Stifel, Nicolaus & Company, Incorporated

Garden City, NY

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-26
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Uniondale NY 07/2007 Present
Previous Registrations
  • 2006-08-15 → 2007-07-10
    Ryan Beck & Co.
    Uniondale, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-21
S63 Uniform Securities Agent State Law Examination 1996-03-04
  • S65 Uniform Investment Adviser Law Examination
    1996-08-21
  • S63 Uniform Securities Agent State Law Examination
    1996-03-04

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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