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Alan Douglas Cox

Hillspring Financial, Inc.

Surprise, AZ

CRD 5602588

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Employer firm

Hillspring Financial, Inc. CRD 113938

$186M regulatory AUM 8 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Hillspring Financial, Inc.

12213 W. Bell Road Suite 209, Surprise, AZ 85378 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2021-10-12
TX RA APPROVED_RES 2021-08-23
  • AZ RA
    APPROVED
    Since 2021-10-12
  • TX RA
    APPROVED_RES
    Since 2021-08-23

Branch Locations

12213 W Bell Rd Ste 209, Surprise, AZ 85378 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Taylor Capital Management, Inc Surprise AZ 09/2012 10/2019
Northpointe Financial, Llc Surprise AZ 09/2012 11/2023
Northpointe Consulting, Llc Surprise AZ 03/2013 07/2021
Hillspring Financial, Inc. Surprise AZ 07/2021 Present
  • 09/2012 → 10/2019
    Taylor Capital Management, Inc
    Surprise, AZ
  • 09/2012 → 11/2023
    Northpointe Financial, Llc
    Surprise, AZ
  • 03/2013 → 07/2021
    Northpointe Consulting, Llc
    Surprise, AZ
  • 07/2021 → Present
    Hillspring Financial, Inc.
    Surprise, AZ
Previous Registrations
  • 2012-09-12 → 2023-12-05
    Northpointe Financial, Llc
    Surprise, AZ
    Surprise, AZ
  • 2009-01-23 → 2012-09-06
    Equitable Advisors, Llc
    Scottsdale, AZ
Other Businesses

1) LICENSED TO SELL LIFE & ANNUITY, HEALTH, DENTAL & VISION INSURANCE >10HR/MONTH;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-31
  • S66 Uniform Combined State Law Examination
    2008-12-31

View on SEC IAPD

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Nearby Investors

David Allen Carter
EDWARD J CHURRAY
ANN MARIE REAGAN

Nearby Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Surprise, AZ
CETERA INVESTMENT ADVISERS LLC · SUN CITY WEST, AZ
CETERA INVESTMENT ADVISERS LLC · SURPRISE, AZ

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