Michael Cox has been an investment adviser representative at Lombard Advisers since January 2007, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
Michael Cox’s longest registration is the current one, 19 years at Lombard Advisers since 2007. Before joining Lombard Advisers in 2007, Michael Cox was registered through Wachovia Securities Financial Network, LLC.
- – present · 19 yearsMatthews, NC · Adviser representative · Firm CRD 108231
- Wachovia Securities Financial Network, LLC– · under a yearMatthews, NC · Adviser representative · Firm CRD 11025
Investment adviser representative registrations
Michael Cox is registered as an investment adviser representative in North Carolina, since April 2022.
- North CarolinaSince 21 April 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 May 2006 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 3 February 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 21 January 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 15 February 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 April 1984 |
| Series 7 | General Securities Representative Examination | 18 February 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Preston Cox
- CRD
- 1241173
- Firm
- Lombard Advisers · CRD 108231
- Office
- 130 LIBRARY LANE, Matthews, NC 28105
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Cox work?
Michael Cox is an investment adviser representative registered through Lombard Advisers Incorporated since January 2007, and is not listed among the firm’s executive officers or direct owners.
Is Michael Cox a financial advisor?
Yes. Michael Cox has a current investment-adviser registration in North Carolina, through Lombard Advisers since January 2007.
How many years of experience does Michael Cox have?
Michael Cox has 42 years in the financial industry, since March 1984, across 2 adviser firms.
What exams has Michael Cox passed?
Michael Cox has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 9, Series 10 and Series 66. The earliest, the Series 7, was passed in February 1984. FINRA credited Michael Cox with the SIE, which began in October 2018.
Where did Michael Cox work before Lombard Advisers?
Before Lombard Advisers, Michael Cox was registered through Wachovia Securities Financial Network, LLC, May 2006 to December 2006.
Where is Michael Cox based?
Michael Cox’s registered office is in Matthews, NC.
Is Michael Cox registered with FINRA?
Yes. Michael Cox has a current broker registration, under CRD 1241173.
Source: FINRA BrokerCheck
How can I verify Michael Cox’s record?
Search CRD 1241173 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Cox’s full registration record.