Annetta M. Box

Some features on this profile are disabled

CRD#: 6475567

Professional summary

Annetta Marie Box was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Annetta is a previously registered financial professional and started their career in finance in 2015. Prior to being barred, Annetta had worked at 7 firms, which includes ADAPTATION FINANCIAL ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., OSAIC WEALTH INC., SECURITIES AMERICA INC., PERRYMAN SECURITIES INC., AVANTAX INVESTMENT SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Annetta Box | Annetta Marie Box Taylor | Annetta Marie Taylor

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 20, 2020 - October 25, 2021

ADAPTATION FINANCIAL ADVISORS INC.

RIA

CRD#: 309192

DALLAS, TX

Past

August 31, 2020 - October 29, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Dallas, TX

Past

August 31, 2020 - October 29, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Dallas, TX

Past

November 1, 2019 - September 2, 2020

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DALLAS, TX

Past

November 1, 2019 - September 2, 2020

OSAIC WEALTH, INC.

CRD#: 23131

DALLAS, TX

Past

June 13, 2017 - November 1, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

Plano, TX

Past

March 28, 2016 - May 25, 2017

PERRYMAN SECURITIES, INC.

CRD#: 116502

DALLAS, TX

Past

August 26, 2015 - March 2, 2016

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Irving, TX

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".

ADAPTATION FINANCIAL ADVISORS INC.

ADAPTATION FINANCIAL | ADAPTATION FINANCIAL ADVISORS INC.

CRD#: 309192 / SEC#: 801-118982

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/11/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/1/2020

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2020

General Securities Principal Examination

Current Firm

ADAPTATION FINANCIAL ADVISORS INC.

ADAPTATION FINANCIAL | ADAPTATION FINANCIAL ADVISORS INC.

CRD#: 309192 / SEC#: 801-118982

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

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

700 Cedar Lake Blvd, Oklahoma City, OK 73114

Mailing Address

Phone number

(972) 774-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADAPTATION WRAP BROCHURE-MARCH 2025 (3/31/2025)

ADAPTATION FINANCIAL- ADV2A BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	674
AUM (Assets Under Management)	$ 217,147,998

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Annetta M. Box

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

PERRYMAN SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ADAPTATION FINANCIAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/2015

Series 52TO

Date: 8/1/2020

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2015

Series 24

Date: 6/26/2020

Current Firm

ADAPTATION FINANCIAL ADVISORS INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADAPTATION FINANCIAL ADVISORS INC.

TRUST BUT VERIFY

Similar Advisors