Roger H. Cox

RADEMACHER FINANCIAL

Kamas, UT

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CRD#: 1578371

Professional summary

Roger Harrington Cox is a registered financial advisor currently at RADEMACHER FINANCIAL, INC. located in Kamas, Utah.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Roger has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Harrington Cox's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 27, 2012 - Present

RADEMACHER FINANCIAL, INC.

RIA

CRD#: 114067

Kamas, UT

Past

January 2, 2009 - August 10, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LAWRENCE, KS

Past

November 16, 2001 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LAWRENCE, KS

Past

May 16, 2001 - June 28, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAWRENCE, KS

Past

September 22, 1994 - May 16, 2001

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

August 26, 1994 - September 19, 1994

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

Past

June 5, 1992 - September 7, 1994

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

August 28, 1990 - June 5, 1992

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 31, 1989 - August 30, 1990

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

September 3, 1987 - February 17, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

November 21, 1986 - September 23, 1987

INVESTACORP, INC.

CRD#: 7684

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RADEMACHER FINANCIAL, INC.

CRD#: 114067 / SEC#: 801-113139

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Florida

Registered Investment Advisory firm - (5/7/2018 Terminated)

Kansas

Registered Investment Advisory firm - (5/7/2018 Terminated)

Missouri

Registered Investment Advisory firm - (5/7/2018 Terminated)

Montana

Registered Investment Advisory firm - (5/7/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(9/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/1/2002

General Securities Principal Examination

Current Firm

RADEMACHER FINANCIAL, INC.

CRD#: 114067 / SEC#: 801-113139

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

Florida

Registered Investment Advisory firm - (5/7/2018 Terminated)

Kansas

Registered Investment Advisory firm - (5/7/2018 Terminated)

Missouri

Registered Investment Advisory firm - (5/7/2018 Terminated)

Montana

Registered Investment Advisory firm - (5/7/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2018 Terminated)

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Contact information

Main Address

1505 Kasold Drive, Lawrence, KS 66047

Mailing Address

Phone number

(785) 865-5308

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RADEMACHER FINANCIAL, INC. ADV BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts	1,184
AUM (Assets Under Management)	$ 234,295,142

Red Flags

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Roger H. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Harrington Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

RADEMACHER FINANCIAL, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERICAN INVESTMENT SERVICES, INC.

AMERICAN INVESTMENT SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

WALNUT STREET SECURITIES, INC.

SPELMAN & CO., INC.

PFG SECURITIES, INC.

INVESTACORP, INC.

Primary Firm SEC Registration

RADEMACHER FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/1994

Series 63

Date: 12/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 24

Date: 2/1/2002

Current Firm

RADEMACHER FINANCIAL, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RADEMACHER FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

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