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Paladin Registry 5 Stars

This advisor or firm is a vetted, documented member of the Paladin Registry.

This advisor or firm received a 5 Star quality rating from Paladin’s research department. Paladin analysts use a proprietary algorithm to rate the quality of financial advisor and firm credentials, ethics, business practices, and services.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

I. Snapshot

A. Registry Member
  • Since 2006
B. Years of Experience
  • 40
C. College Degrees
  • American College - ChFC
  • American College - CLU
  • College for Financial Planning - Institute of Tax Studies / ATA
  • American College - AEP
D. Certifications
  • AEP®, ATA, CFP®, ChFC®, CLU®, CKA®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Trying to map a course to arrive at your financial goals but overwhelmed by the countless decisions required? Don't feel alone, in today's fast ever changing legal, tax, trust, insurance, and investment* environment even the most experienced investor can quickly find themselves on the wrong road. Cox Wealth Management, LLC strives to help take the stress out of planning your financial future. By bringing together a team of professional advisers to map out a strategy and then working together with you, we find the best course to help you reach your financial goals. (* See Disclosure link listed below)

G. Asset Requirement
  • $100,000

II. Contact Information

A. Key Contact
  • Richard Cox Sr
B. Main Location
  • 6031 Shallowford Road
    Suite 109
    Chattanooga, Tennessee, 37421
C. Telephone
  • 423.894.3882

III. Internet

A. Visit Website
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Cox Wealth Management, LLC
B. Relationship to Firm
  • Independent Contractor
C. Name of RIA
  • American Portfolios Advisors, Inc.
D. Name of Broker/Dealer
  • American Portfolios Financial Services, Inc.
E. Name(s) of Custodian(s)
  • Pershing, LLC
  • TD Ameritrade
  • Schwab

V. Credentials

A. Years of Financial Experience
  • 40 Years
B. College, Degrees, Years
  • American College - ChFC
  • American College - CLU
  • College for Financial Planning - Institute of Tax Studies / ATA
  • American College - AEP
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association
  • Kingdom Advisors
  • National Society of Accountants

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 1403565
  • IARD: 112697
  • Insurance: 00026387
E. State Licences
  • Financial Advice, Services for Fees: None
  • Investment Products for Commission: See List
    • Alabama
    • Arizona
    • Arkansas
    • California
    • Colorado
    • Connecticut
    • Delaware
    • District of Columbia
    • Florida
    • Georgia
    • Idaho
    • Illinois
    • Indiana
    • Iowa
    • Kentucky
    • Louisiana
    • Maine
    • Maryland
    • Massachusetts
    • Michigan
    • Minnesota
    • Mississippi
    • Missouri
    • Montana
    • Nevada
    • New Hampshire
    • New Jersey
    • New Mexico
    • New York
    • North Carolina
    • Ohio
    • Oregon
    • Pennsylvania
    • Rhode Island
    • South Carolina
    • Tennessee
    • Texas
    • Vermont
    • Virginia
    • Washington
    • West Virginia
    • Wisconsin
  • Insurance Products for Commission: See List
    • Alabama
    • Florida
    • Georgia
    • Maryland
    • Mississippi
    • Montana
    • Nevada
    • Tennessee
    • Texas
    • Virginia
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Securities offered through American Portfolios Financial Services, Inc. Member FINRA, SIPC. Investment advisory services offered through American Portfolios Advisors, Inc. a SEC Registered Investment Advisor... View More
    Securities offered through American Portfolios Financial Services, Inc. Member FINRA, SIPC. Investment advisory services offered through American Portfolios Advisors, Inc. a SEC Registered Investment Advisor Cox Wealth Management, LLC. is independent of American Portfolios Financial Services Inc. and American Portfolios Advisors Inc
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Trying to map a course to arrive at your financial goals but overwhelmed by the countless decisions required? Don't feel alone, in today's fast ever changing legal, tax, trust, insurance, and investment* environment even the most experienced investor can quickly find themselves on the wrong road. Cox Wealth Management, LLC strives to help take the stress out of planning your financial future. By bringing together a team of professional advisers to map out a strategy and then working together with you, we find the best course to help you reach your financial goals. (* See Disclosure link listed below)

B. Minimum Asset Requirement
  • $100,000
C. Number of Current Clients
  • 10,925
D. Assets (Management, Advisement)
  • $2,864,454,474
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
  • Newsletters (Quarterly)
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    We provide technical guidance in resolving, tax, legal, estate, portfolio management, ERISA and comprehensive financial planning needs, working as your advocate we are held to the highest standard of Fiduciary Care, buy oath and regulation, so you can rest assured we always operate in your best interest.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Other: Government Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
  • Taft-Hartley Pension Plans
  • Public Pension Plans
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Tax Advice & Services
  • Other
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Tax Planning

IX. Certification

Advisor Name
  • Richard Cox
Most Recent Update:
  • Dec 7, 2018

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Other

Estate Planning & Administration