Michael Cox has been President/Chief Compliance Officer of CW Securities since February 2002, is a control person of the firm and directly owns 75% or more of it.
CW Securities, LLC is a Knoxville, TN firm with $113M under management, 145 clients and 1 adviser in one office, as of its September 2026 filing.
Michael Cox’s longest registration is the current one, 16 years at CW Securities since 2010.
- CW Securities, LLC– · 1 yearKnoxville, TN · Adviser representative · Firm CRD 119312
Investment adviser representative registrations
Michael Cox is registered as an investment adviser representative in 3 states. The first approvals date from June 2010; the most recent is Florida, in September 2026.
- FloridaSince 21 September 2026
- MarylandSince 26 June 2024
- TennesseeSince 3 June 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 72 | Government Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 26 March 2010 |
| Series 51 | Municipal Fund Securities Principal Examination | 18 June 2009 |
| Series 24 | General Securities Principal Examination | 6 December 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 April 1991 |
| Series 7 | General Securities Representative Examination | 12 March 1991 |
- Name
- Compliance Officer Examination
- Name
- Government Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Edward Cox
- CRD
- 2129658
- Firm
- CW Securities · CRD 124496
- Role
- President/Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1991
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Cox work?
Michael Cox has been President/Chief Compliance Officer of CW Securities, LLC since February 2002, and is a control person of the firm.
Is Michael Cox a financial advisor?
Yes. Michael Cox has a current investment-adviser registration in Florida, Maryland and Tennessee, through CW Securities since June 2010.
How many years of experience does Michael Cox have?
Michael Cox has 35 years in the financial industry, since March 1991, across 2 adviser firms.
What exams has Michael Cox passed?
Michael Cox has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 51, Series 66, Series 14 and Series 72. The earliest, the Series 7, was passed in March 1991. FINRA credited Michael Cox with the SIE, which began in October 2018.
Is Michael Cox registered with FINRA?
Yes. Michael Cox has a current broker registration, under CRD 2129658.
Source: FINRA BrokerCheck
How can I verify Michael Cox’s record?
Search CRD 2129658 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.