Thomas Patrick Cox

CRD 1445836 · Morgan Stanley · Paramus, NJ

IA RegisteredBroker

Also appears in the source record as: Thomas W Cox; Thomas William Cox

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 3Series 7
Registered states (44): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 40
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1445836 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (7)

From the source registration record · current first

Morgan StanleyCurrent
Paramus, NJ · IA capacity

Oct 2, 2015 → present
Sterne Agee Asset Management, Inc.
IA capacity

Feb 11, 2011 → Aug 15, 2014
Sterne Agee Financial Services, Inc.
BD capacity

Nov 12, 2010 → Aug 15, 2014
Ubs Financial Services Inc.
BD capacity

Mar 24, 2008 → Dec 10, 2009
Citigroup Global Markets Inc.
IA capacity

Jul 18, 2002 → Apr 4, 2008
Citigroup Global Markets Inc.
BD capacity

Jul 31, 1993 → Apr 4, 2008
Lehman Brothers Inc.
BD capacity

Feb 7, 1986 → Jul 31, 1993

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1445836 ↗ FINRA BrokerCheck record for CRD 1445836 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.