John H. Cox

COX FINANCIAL GROUP, LTD.

Schaumburg, IL 60173-5807

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CRD#: 1944308

Professional summary

John Herman Cox is a registered financial advisor currently at COX FINANCIAL GROUP, LTD. located in Schaumburg, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 2 firms and has passed the Series 63, Series 22 and Series 39 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 John Herman Cox's 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

May 9, 1998 - Present

COX FINANCIAL GROUP, LTD.

Office #1: 1051 Perimeter Drive Suite 550, Schaumburg, IL 60173-5807

RIA

CRD#: 123955

Schaumburg, IL

Past

May 9, 1998 - December 31, 2013

COX FINANCIAL GROUP, LTD.

RIA

CRD#: 123955

SCHAUMBURG, IL

Past

September 19, 1989 - August 29, 2006

FEA, INC.

CRD#: 24376

NORTHBROOK, IL

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

Illinois
(5/9/1998)

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

Series 63

Date: 2/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 7/19/1989

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 7/25/1989

Direct Participation Programs Principal Examination

Current Firm

COX FINANCIAL GROUP, LTD.

CRD#: 123955 / SEC#: 801-62084

RIA

Registered Investment Advisory firm - (6/29/2012 Terminated)

Illinois

Registered Investment Advisory firm - (6/1/2012 Approved)

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).

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Contact information

Main Address

1051 Perimeter Drive Suite 550, Schaumburg, IL 60173-5807

Mailing Address

Phone number

(847) 240-0022

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 68,502,562

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John H. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Herman Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

COX FINANCIAL GROUP, LTD.

COX FINANCIAL GROUP, LTD.

FEA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/1992

Series 22

Date: 7/19/1989

Series 39

Date: 7/25/1989

Current Firm

COX FINANCIAL GROUP, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COX FINANCIAL GROUP, LTD.

TRUST BUT VERIFY

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