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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Matthew Lee Cox

Advisor at CHARLES SCHWAB & CO., INC.

Tampa, FL | Westlake, TX

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Search this name across graphsid dfx:ria:815b43c1-41e2-bcac-35e3-2180194bf1ee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 8, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 24, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 24, 2009
First registration: Oct 8, 2009
Dual registered: yes, broker-dealer
Other names: MATT COX
IAPD individual key: 5120141

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	May 28, 2020	n/a	yes	Westlake, TX\|Tampa, FL	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	May 24, 2020	no	Tampa, FL\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|TAMPA, FL	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Apr 12, 2013	Jan 8, 2018	no	SAN ANTONIO, TX\|TAMPA, FL	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Oct 6, 2010	Apr 18, 2013	no	SAN ANTONIO, TX	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Oct 8, 2009	Sep 20, 2010	no	Tucson, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	May 24, 2020	May 28, 2020	4	Bulk transfer	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
USAA INVESTMENT SERVICES COMPANY	USAA FINANCIAL PLANNING SERVICES	Apr 18, 2013	Apr 12, 2013	-6	Bulk transfer	Other
PRINCIPAL SECURITIES, INC.	USAA INVESTMENT SERVICES COMPANY	Sep 20, 2010	Oct 6, 2010	16	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 28, 2020 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Apr 12, 2013 to Jan 8, 2018factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Oct 8, 2009 to Sep 20, 2010factForm ADV

Dated events

No dated event names this entity yet.