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About Cox Financial Group |
| My firm helps families and businesses protect their assets, their income and their lifestyle...using
financial, insurance, and investment strategies and solutions. My mission is to build long-
term relationships based upon honesty, trust, and mutual respect, while helping clients achieve
their financial goals. |
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General Information |
| Years of Experience in Financial Services: |
20
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| States Licensed in: |
FL, TX, GA, NC, NY, NJ, PA, IL, VA, NV, CA
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| Number of Years with Current Firm: |
20
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| Insurance License#: |
D006750
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| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
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| Name of Broker/Dealer: |
Northwestern Mutual Investment Services, LLC
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| States Willing to do Business in: |
All
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Education |
| Academic Background |
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BS, Business Administration - Old Dominion University (1990)
MBA - Strayer College (1994)
Ph.D. - Kennedy-Western University (1998) |
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Services |
| Investment Types: |
Mutual Funds, Bonds, Stocks, Annuities, Insurance, Exchange Traded Funds (ETFs), Diversified Portfolios
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified in Long-Term Care (CLTC), Retirement Income Certified Planner (RICP), Chartered Financial Consultant (ChFC®), Accredited Estate Planner (AEP)
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| Securities Licenses: |
Series 6, Series 7, Series 63, Series 65, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Disability
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| Financial Organization Memberships: |
Million Dollar Roundtable, Financial Planning Association (FPA), Society of Financial Services Professionals, National Association of Insurance and Financial Advisors (NAIFA), National Association of Estate Planners & Councils (NAEPC), National Association of Estate Planners & Councils
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Firm Information |
| Assets Managed by Firm: |
$85,000,000
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| Assets Managed by Advisor: |
$135,000,000
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| Advisor's Number of Clients: |
250+
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| Firm's Number of Clients: |
500+
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| Advisor's Number of Planning Clients: |
135
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| Advisor's Number of Managed Clients: |
175
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| Firm's Number of Planning Clients: |
225
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| Firm's Number of Managed Clients: |
200
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
| Fee % Based on Assets: |
1.0%
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| Compensation Methods: |
Based on Assets, Flat Fee, Commissions
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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A confidential discovery and fact-finding process designed to help you gain clarity about your financial goals and objectives, while determining if you have any vulnerabilities in your financial security. |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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How many clients do you currently manage? |
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Fee-based, or Percentage of Asset size, or commission based if brokerage. |
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Will you be the only person working with me? |
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Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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Depends on your answers to a detailed risk tolerance questionairre. |
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Have you ever been charged with any breaches? |
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Why should I choose you as my financial advisor? |
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ChFC, (Chartered Financial Consultant)
WMA, (Wealth Management Advisor)
AEP, (Accredited Estate Planner)
CASL, (Certified Advisor to Senior Living)
MBA
Ph.D. |
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How do you charge for your services? |
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Professional Portfolio Management. Financial planning design. Estate Planning. Investment management. Life and Disability Insurance and Long Term Care Insurance. Employee Benefits. |
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What services do you provide? What are your specialties? |
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Providing a detailed and specific "Written Financial Plan." |
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What are your management fees? |
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What kind of plans do you specialize in? |
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401k, Profit Sharing, SEP IRA, Simple IRA, and Non-Qualified plans. |
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Do you have a minimum requirement for number of employees or total investment value? |
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