Steven T. Cox

PROVIDENCE FINANCIAL ADVISORS

OVERLAND PARK, KS 66211

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CRD#: 2084626

Professional summary

Steven Thomas Cox SR is a registered financial advisor currently at PROVIDENCE FINANCIAL ADVISORS, LLC located in Overland Park, Kansas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Steven has worked at 4 firms and has passed the Series 66, Series 65, Series 63 and Series 7 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 Steven Thomas Cox SR'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

April 22, 2003 - Present

PROVIDENCE FINANCIAL ADVISORS, LLC

Office #1: 6900 College Blvd., Suite 850, Overland Park, KS 66211

RIA

CRD#: 124839

OVERLAND PARK, KS

Past

July 28, 1998 - February 11, 2003

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

Past

October 29, 1991 - January 26, 1998

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

September 17, 1990 - March 5, 1991

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

PROVIDENCE FINANCIAL ADVISORS, LLC

PROVIDENCE FINANCIAL ADVISORS, LLC | PROVIDENT FINANCIAL ADVISORS,LLC

CRD#: 124839 / SEC#: 801-127183

RIA

Registered Investment Advisory firm - (1/12/2023 Approved)

Kansas

Registered Investment Advisory firm - (2/27/2023 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/27/2023 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

Kansas
(4/22/2003)

IAR

Texas
(6/10/2014)

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 66

Date: 3/3/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/2/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/14/1990

General Securities Representative Examination

Current Firm

PROVIDENCE FINANCIAL ADVISORS, LLC

PROVIDENCE FINANCIAL ADVISORS, LLC | PROVIDENT FINANCIAL ADVISORS,LLC

CRD#: 124839 / SEC#: 801-127183

RIA

Registered Investment Advisory firm - (1/12/2023 Approved)

Kansas

Registered Investment Advisory firm - (2/27/2023 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/27/2023 Terminated)

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Contact information

Main Address

6900 College Blvd., Suite 850, Overland Park, KS 66211

Mailing Address

Phone number

(913) 323-0535

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFA ADV PART 2A BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	525
AUM (Assets Under Management)	$ 544,480,066

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.

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Firm Stability Insights

Steven T. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Thomas Cox SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GPC SECURITIES, INC.

INVESCO DISTRIBUTORS, INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

PROVIDENCE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2003

Series 65

Date: 10/2/1996

Series 63

Date: 10/26/1990

Series 7

Date: 9/14/1990

Current Firm

PROVIDENCE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROVIDENCE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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