Steven T. Cox

PROVIDENCE FINANCIAL ADVISORS

OVERLAND PARK, KS 66211

Some features on this profile are disabled

CRD#: 6017637

Professional summary

Steven Thomas Cox Jr, who also goes by Steven Thomas Cox, 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 2014. Steven has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Thomas 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Thomas Cox Jr'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 1, 2019 - Present

PROVIDENCE FINANCIAL ADVISORS, LLC

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

RIA

CRD#: 124839

OVERLAND PARK, KS

Past

May 5, 2015 - August 12, 2021

PRAIRIE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153588

KANSAS CITY, MO

Past

February 6, 2015 - April 8, 2015

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

KANSAS CITY, MO

Past

November 13, 2014 - January 31, 2019

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

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
(8/1/2019)

IAR

Texas
(12/14/2021)

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: 2/5/2015

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: 11/13/2014

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Adam Tabak

LPL FINANCIAL LLC

IAR

EDINBURG, TX

Jason Valavanis

J.W. COLE FINANCIAL, INC.

Melbourne, FL

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

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 Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENCE FINANCIAL ADVISORS, LLC

PRAIRIE CAPITAL MANAGEMENT, LLC

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROVIDENCE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2014

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

Similar Advisors