Steven Roy Cox

Current Employers

Employment History

• 01/2006 → 10/2023
  Lpl Financial Llc
  Bellevue, WA
• 10/2023 → Present
  Kestra Investment Services Llc
  Lake Oswego, OR
• 10/2023 → Present
  Kestra Advisory Services Llc
  Lake Oswego, OR

Previous Registrations

• 2006-01-31 → 2023-10-27
  Lpl Financial Llc
  Sammamish, WA
  Seattle, WA
  Sammamish, WA
  Lake Oswego, OR
  Austin, TX
  Austin, TX
• 2005-01-31 → 2006-02-01
  Osaic Fa, Inc.
  Sammamish, WA

Other Businesses

Business Name: KESTRA ADVISORY SERVICES POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/17/2023 ADDRESS: 5707 SOUTHWEST PARKWAY, BLDG 2, SUITE 400, AUSTIN TX 78735 DESCRIPTION: Manage client advisory accounts as a fiduciary. Business Name: SHC FINANCIAL, LLC POSITION: Managing Member & 50% Owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/11/2007 ADDRESS: 2558- 76th Ave SE #460, Mercer Island WA 98040, United States DESCRIPTION: SHC Financial ("SHC") derives its revenues solely from Kestra Registered Rep/Advisers contributions which are used to cover operating expenses such as rent, employee compensation, payroll taxes, investment research, computer services & equipment, employee training, telecommunication services & equipment, owner life insurance, software subscriptions, banking fees, internet & cable subscriptions, property insurance, marketing expenses, shipping & postage, office supplies, and general business expenses. I oversee the payment of these expenses, file the required tax & payroll reports, maintain financial budgets, and keep the financial books of the organization, Business Name: STEVEN R, COX POSITION: Producing Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2006 ADDRESS: 2558 - 76th Ave SE #460, Mercer Island WA 98040, United States DESCRIPTION: My duties are as an agent for the various insurance companies that I am contracted with to offer their products to my financial planning clients.

Exams

• S66 Uniform Combined State Law Examination
  2004-12-18

Other Names

• Steven Cox