Alan Cox has been an investment adviser representative at Hillspring Financial since August 2021, and is not listed among the firm’s executive officers or direct owners.
Hillspring Financial, Inc. is a Surprise, AZ firm with $186M under management, 270 clients and 2 advisers in one office, as of its March 2026 filing.
Alan Cox’s longest registration was 11 years at Northpointe Financial, LLC (2012–2023). Before joining Hillspring Financial in 2021, Alan Cox was registered through Northpointe Financial, LLC and Axa Advisors, LLC.
- Hillspring Financial, Inc.Current– present · 5 yearsSurprise, AZ · Adviser representative · Firm CRD 113938
- Northpointe Financial, LLC– · 11 yearsSurprise, AZ · Adviser representative · Firm CRD 165118
- Axa Advisors, LLC– · 3 yearsScottsdale, AZ · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Alan Cox is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from August 2021; the most recent is Arizona, in October 2021.
- ArizonaSince 12 October 2021
- TexasResidentSince 23 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 December 2008 |
| Series 7 | General Securities Representative Examination | 7 November 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Alan Douglas Cox
- CRD
- 5602588
- Firm
- Hillspring Financial · CRD 113938
- Office
- 12213 W Bell Rd, Ste 209, Surprise, AZ 85378
- Registration
- Investment adviser registration
- In the industry since
- November 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Alan Cox work?
Alan Cox is an investment adviser representative registered through Hillspring Financial, Inc. since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Alan Cox a financial advisor?
Yes. Alan Cox has a current investment-adviser registration in Arizona and Texas, through Hillspring Financial since August 2021.
How many years of experience does Alan Cox have?
Alan Cox has 17 years in the financial industry, since November 2008, across 3 adviser firms.
What exams has Alan Cox passed?
Alan Cox has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2008. FINRA credited Alan Cox with the SIE, which began in October 2018.
Where did Alan Cox work before Hillspring Financial?
Before Hillspring Financial, Alan Cox was registered through Axa Advisors, LLC, January 2009 to September 2012.
Where is Alan Cox based?
Alan Cox’s registered office is in Surprise, AZ.
Is Alan Cox registered with FINRA?
No. Alan Cox has no current broker registration.
How can I verify Alan Cox’s record?
Search CRD 5602588 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alan Cox’s full registration record.