Richard Lee Cox Sr

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#

Contact Information

Email

xxxxx@xxxx.xxx

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#

Credentials

CFP®

Certified Financial PlannerSince 2006

Years of Experience

41 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

6031 Shallowford Road Suite 109, Chattanooga, TN 37421

October 11, 2024 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

6031 Shallowford Road Suite 109, Chattanooga, TN 37421

October 11, 2024 - Present

Past

AMERICAN PORTFOLIOS ADVISORS, INCPast·CRD# 112697

RIA

Holbrook, NY

January 13, 2016 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.Past·CRD# 18487

BD

Chattanooga, TN

August 2, 2010 - October 11, 2024

COX WEALTH MANAGEMENT, LLCPast·CRD# 118181

RIA

Chattanooga, TN

January 28, 2004 - January 6, 2017

FSC SECURITIES CORPORATIONPast·CRD# 7461

BD

Chattanooga, TN

October 1, 1992 - August 2, 2010

FSC SECURITIES CORPORATIONPast·CRD# 7461

RIA

Chattanooga, TN

June 17, 2008 - June 17, 2008

FSC SECURITIES CORPORATIONPast·CRD# 7461

RIA

Chattanooga, TN

October 1, 1992 - March 21, 2007

SUNAMERICA SECURITIES, INC.Past·CRD# 20068

BD

Phoenix, AZ

June 18, 1989 - October 2, 1992

SOUTHMARK FINANCIAL SERVICES, INC.Past·CRD# 6518

BD

October 15, 1987 - June 18, 1989

GUARDIAN INVESTOR SERVICES LLCPast·CRD# 6635

BD

August 7, 1986 - October 27, 1987

PRINCIPAL SECURITIES, INC.Past·CRD# 1137

BD

October 17, 1985 - July 9, 1986

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. RICHARD L COX SR POSITION: Insurance Agent NATURE: Individual INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/14/1976 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: I am a licensed Insurance Agent operating a general agency in the state of Tennessee and therefore, am the assigned principal agent for Cox Financial Centers. 2. SOUTHEAST CHEVELLES POSITION: OWNER NATURE: HOBBY CAR CLUB INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: I maintain the website www.sechevelles.com as moderator and administrator. I also maintain the Facebook page for members. We meet on weekends and evenings in good weather to go to car shows with our cars. 3. POSITION: Study Group Leader NATURE: Membership Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/10/2005 ADDRESS: 3301 Windy Ridge Pkwy SE, Ste 50 Atlanta GA 30339 DESCRIPTION: I serve as host to our monthly study group meetings, mentor other Christian Advisors, and handle any needs of the group. 4. RICHARD L COX & MARGARET RENEE COX PROPERTY OWNERS POSITION: Property Owners NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2008 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: Cox Financial Centers, Inc. has a triple net lease and pays all taxes, insurance, Maintenance, and repair. Owners collect rent. 5. COX WEALTH MANAGEMENT, LLC POSITION: Chief Managing Member NATURE: Limited Liability Company 90% Owned By Richard L Cox Sr and 10% Owned by Margaret Renee' Cox INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 05/01/1998 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: I provide Accounting and Tax Services for Individuals, Businesses, Trusts, and Estates. 6. LEGACY TRUST ADMINISTRATION SERVICES, INC. POSITION: CEO NATURE: PC-Corporation 90% Owned by Richard L Cox, Sr and 10% Owned By Margaret Renee' Cox INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 09/01/1993 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: This business is owned by my wife, who is the President and conducts the Trust, Estate, and Business Accounting. I assist with any accounting duties and offer guidance when working with CPA's and Attorneys. 7. COX FINANCIAL CENTERS, INC. POSITION: President/CEO NATURE: S Corporation 90% owned by Richard L Cox Sr and 10% owned by Margaret Renee' Cox INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 06/01/1984 ADDRESS: 6031 Shallowford Rd Ste 109 Chattanooga TN 37421 DESCRIPTION: I am a General Agent Licensed under Cox Financial Centers, Inc., and have other licensed agents in my production group who submit Life, Health, and Fixed Annuities through our agency.

Similar Advisors

FALCON WEALTH PLANNING, LLC

ONTARIO, CA · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

HOUSTON, TX · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

LPL FINANCIAL LLC

GUERNEVILLE, CA · CRD#