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Brian James Cox

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lake Mary, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 1984-09-27
  • FL RA
    APPROVED
    Since 1984-09-27

Branch Locations

250 International Pkwy, Lake Mary, FL 32746 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Heathrow FL 07/1984 Present
Bank Of America, N.A. Heathrow FL 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-19
S63 Uniform Securities Agent State Law Examination 1984-09-25
  • S65 Uniform Investment Adviser Law Examination
    1994-09-19
  • S63 Uniform Securities Agent State Law Examination
    1984-09-25
Other Names
  • Brian J Cox

View on SEC IAPD

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