Alan D. Cox

HILLSPRING FINANCIAL

Surprise, AZ 85378

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CRD#: 5602588

Professional summary

Alan Douglas Cox is a registered financial advisor currently at HILLSPRING FINANCIAL, INC. located in Surprise, Arizona.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Alan has worked at 4 firms and has passed the Series 66, SIE 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.

1) LICENSED TO SELL LIFE & ANNUITY, HEALTH, DENTAL & VISION INSURANCE >10HR/MONTH;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Douglas Cox'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

August 20, 2021 - Present

HILLSPRING FINANCIAL, INC.

Office #1: 12213 W Bell Rd Ste 209, Surprise, AZ 85378

RIA

CRD#: 113938

Surprise, AZ

Past

September 12, 2012 - December 5, 2023

NORTHPOINTE FINANCIAL, LLC

RIA

CRD#: 165118

SURPRISE, AZ

Past

September 4, 2012 - August 15, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Surprise, AZ

Past

January 23, 2009 - September 6, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SCOTTSDALE, AZ

Past

November 10, 2008 - September 6, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

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".

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 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

Arizona
(10/12/2021)

IAR

Texas
(8/23/2021)

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: 12/31/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2008

General Securities Representative Examination

Current Firm

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 Terminated)

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Contact information

Main Address

12213 W. Bell Road Suite 209, Surprise, AZ 85378

Mailing Address

Phone number

(623) 583-6141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A - SEC (3/5/2025)

Regulatory assets under management

Total Number of Accounts	641
AUM (Assets Under Management)	$ 154,788,350

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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Advisor Monitoring

Firm Stability Insights

Alan D. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Douglas Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHPOINTE FINANCIAL, LLC

TAYLOR CAPITAL MANAGEMENT INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HILLSPRING FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2008

Current Firm

HILLSPRING FINANCIAL, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLSPRING FINANCIAL, INC.

TRUST BUT VERIFY

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