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Registered advisor
R•••••• L•• C••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Rich Cox
At current firm
1 y
since Oct 11, 2024
In the industry
42 y
since Jun 1, 1984 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
12
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Chattanooga, Tn
- A••••••• P••••••••• A•••••••• I•• formerJan 13, 2016 to Oct 11, 2024 · Holbrook, Ny
- C•• W••••• M••••••••• L•• formerJan 28, 2004 to Jan 6, 2017 · Chattanooga, Tn
- F•• S••••••••• C••••••••• formerOct 1, 1992 to Jun 17, 2008 · Chattanooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- C•• W••••• M••••••••• L•• to A••••••• P••••••••• A•••••••• I••left Jan 6, 2017, registered Jan 13, 2016 (-359 days) · Other · moved with a team
- F•• S••••••••• C••••••••• to C•• W••••• M••••••••• L••left Jun 17, 2008, registered Jan 28, 2004 (-1602 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address