Emily C. Knox

RETIREMENT PLAN ADVISORS

Denver, CO

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CRD#: 2604943

Professional summary

Emily C Knox, who also goes by Emily Coert Knox, Emily C Vanvoorhis, Emily Coert Vanvoorhis, is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.

Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Emily has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emily Coert Knox | Emily C Vanvoorhis | Emily Coert Vanvoorhis

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.

1) RETIREMENT PLAN ADVISORS, LLC, 2095 N. Emerson St, Denver CO 80205, 05/2025, Investment Advisor Representative, RIA Affiliation - other than CIRA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 2) EMILY KNOX, 2095 N. Emerson St, Denver CO 80205, 05/2025, Agent, Insurance/Benefits/Human Resources, INV REL, 0 HR/MO, 0 HR/MO TRADING. 3) RETIREMENT PLAN ADVISORS HOLDINGS, INC., 29 E. Madison St., Suite 500, Chicago IL 60602, United States, 10/01/2025, Owner, Owner/Partner of a Business Entity, NIR, 0 HR/MO - 0 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily C Knox'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

May 13, 2025 - Present

RETIREMENT PLAN ADVISORS, LLC

RIA

CRD#: 122758

Denver, CO

Current

May 12, 2025 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Denver, CO

Past

April 12, 2022 - May 2, 2025

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

April 12, 2022 - May 2, 2025

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

December 16, 2021 - March 9, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Denver, CO

Past

December 16, 2021 - March 9, 2022

MORGAN STANLEY

CRD#: 149777

Denver, CO

Past

April 8, 2021 - August 5, 2021

HORACE MANN INVESTORS, INC.

RIA

CRD#: 11643

SPRINGFIELD, IL

Past

April 8, 2021 - August 5, 2021

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

Past

June 20, 2016 - March 22, 2021

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

DENVER, CO

Past

June 20, 2016 - March 22, 2021

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

DENVER, CO

Past

February 23, 2016 - February 27, 2016

IMA WEALTH

RIA

CRD#: 112091

DENVER, CO

Past

February 23, 2016 - February 27, 2016

IMA WEALTH

CRD#: 112091

DENVER, CO

Past

August 17, 2010 - February 17, 2016

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

WASHINGTON, DC

Past

July 7, 2005 - February 17, 2016

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

DENVER, CO

Past

November 26, 2001 - March 24, 2004

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

June 22, 2000 - June 1, 2001

AQUILA DISTRIBUTORS LLC

CRD#: 1706

NEW YORK, NY

Past

April 19, 2000 - May 18, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 19, 2000 - May 18, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 10, 1998 - March 23, 2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

March 10, 1998 - June 25, 1998

AFS BROKERAGE, INC.

CRD#: 25924

AUSTIN, TX

Past

March 7, 1997 - February 13, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 4, 1995 - August 2, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(5/12/2025)

IAR

Colorado
(5/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/20/1995

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: 5/3/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 Terminated)

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Contact information

Main Address

29 E. Madison St. Suite 500, Chicago, IL 60602-3205

Mailing Address

Phone number

(312) 701-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLAN ADVISORS, LLC CLIENT BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,148
AUM (Assets Under Management)	$ 1,882,191,054

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

Emily C. Knox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily C Knox's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

MORGAN STANLEY

MORGAN STANLEY

HORACE MANN INVESTORS, INC.

HORACE MANN INVESTORS, INC.

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

IMA WEALTH

IMA WEALTH

MISSIONSQUARE RETIREMENT

MISSIONSQUARE INVESTMENT SERVICES

LASALLE ST SECURITIES, L.L.C.

AQUILA DISTRIBUTORS LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

AFS BROKERAGE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2010

Series 63

Date: 6/20/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/3/1995

Series 24

Date: 4/27/1998

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

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