CC
Christopher D. Cox
VOYA FINANCIAL ADVISORS
Columbus, OH 43235
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CRD#: 5088381
CC
Professional summary
Christopher David Cox, who also goes by Chris Cox, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Columbus, Ohio.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris 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.
NAME OF ENTITY:FAMILY FINANCIAL PLANNING INVESTMENT & INSURANCE; Yes; 545 METRO PLACE SOUTH STE 100; DUBLIN; OH; 43017; FINANCIAL SERVICES/DBA; PRESIDENT; 2/10/2021; 40; 40; SALES MANAGER|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 545 METRO PLACE SOUTH STE 100; DUBLIN; OH; 43017; Fixed Insurance Sales; Independent Insurance Agent; 2/10/2021; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view Christopher David Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher David 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
February 18, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Current
February 8, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Past
November 18, 2013 - September 10, 2020
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
July 28, 2008 - May 1, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
July 24, 2008 - December 2, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
DUBLIN, OH
Past
August 9, 2007 - July 14, 2008
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
PICQUA, OH
Past
March 31, 2006 - July 14, 2008
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
PICQUA, OH
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Florida(5/18/2021)
RR
Kentucky(1/2/2025)
RR
Ohio(2/8/2021)
IAR
Ohio(2/18/2021)
RR
West Virginia(6/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
