SC
Steven R. Cox
KESTRA ADVISORY SERVICES
Lake Oswego, OR 97035
Some features on this profile are disabled
CRD#: 4870493
SC
Professional summary
Steven Roy Cox, who also goes by Steven Cox, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Lake Oswego, Oregon and KESTRA INVESTMENT SERVICES, LLC located in Mercer Island, Washington.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Cox
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.
Business Name: KESTRA ADVISORY SERVICES POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/17/2023 ADDRESS: 5707 SOUTHWEST PARKWAY, BLDG 2, SUITE 400, AUSTIN TX 78735 DESCRIPTION: Manage client advisory accounts as a fiduciary. Business Name: SHC FINANCIAL, LLC POSITION: Managing Member & 50% Owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/11/2007 ADDRESS: 2558- 76th Ave SE #460, Mercer Island WA 98040, United States DESCRIPTION: SHC Financial ("SHC") derives its revenues solely from Kestra Registered Rep/Advisers contributions which are used to cover operating expenses such as rent, employee compensation, payroll taxes, investment research, computer services & equipment, employee training, telecommunication services & equipment, owner life insurance, software subscriptions, banking fees, internet & cable subscriptions, property insurance, marketing expenses, shipping & postage, office supplies, and general business expenses. I oversee the payment of these expenses, file the required tax & payroll reports, maintain financial budgets, and keep the financial books of the organization, Business Name: STEVEN R, COX POSITION: Producing Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2006 ADDRESS: 2558 - 76th Ave SE #460, Mercer Island WA 98040, United States DESCRIPTION: My duties are as an agent for the various insurance companies that I am contracted with to offer their products to my financial planning clients.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Roy 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®
NoneExperience
Current
October 24, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4800 Meadows Road Suite 300, Lake Oswego, OR 97035RIA
CRD#: 283330
Lake Oswego, OR
Current
October 24, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2558 - 76th Ave Se #460, Mercer Island, WA 98040Office #3: 4800 Meadows Rd Suite 300, Lake Oswego, OR 97035BD
CRD#: 42046
Mercer Island, WA
Past
January 31, 2006 - October 27, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAMMAMISH, WA
Past
January 31, 2006 - October 27, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
SAMMAMISH, WA
Past
January 31, 2005 - February 1, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
SAMMAMISH, WA
Past
January 31, 2005 - February 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 31, 2005 - February 1, 2006
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 14, 2004 - January 19, 2005
SEIDMAN PRIVATE SECURITIES LLC
BD
CRD#: 125051
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
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
RR
Arizona(10/24/2023)
RR
California(10/24/2023)
RR
Delaware(11/4/2024)
RR
Florida(10/24/2023)
RR
Georgia(10/24/2023)
RR
Idaho(11/14/2024)
RR
Minnesota(10/24/2023)
RR
Missouri(10/24/2023)
RR
Montana(10/24/2023)
RR
Oregon(10/24/2023)
IAR
Oregon(10/31/2023)
RR
Pennsylvania(10/24/2023)
RR
Tennessee(10/24/2023)
RR
Texas(10/24/2023)
IAR
Texas(10/24/2023)
RR
Virginia(10/24/2023)
RR
Washington(10/24/2023)
IAR
Washington(10/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Lake Oswego, OR 97035TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
