Steven Cox

Providence Financial Advisors, LLC

6900 College Blvd. Suite 440

Overland Park, KS 66211

913-323-0535

Helping clients prudently manage their resources.

About Providence Financial Advisors, LLC

To help clients meet their financial goals through high quality, professional investment services. This can only be accomplished by working with the client to determine their risk profile and goals and then implementing an investment strategy within that framework.

Providence Financial Advisors is a Registered Investment Advisor and only receives fees from clients. This allows us complete freedom in implementing the investment portfolio for our clients.

Providence utilizes time tested investment disciplines to build portfolios and believes it is important to take a long term approach to investing.

See Disclosures

General Information

Firm Start Year

2003

No. of Employees

2-4

CRD#

2084626

Firm CRD#

124839

Name of Custodial Firm

Schwab

States Licensed in

KS, MO

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

Investment Advice & Management, Financial Planning, Financial Planning for Individuals, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management

Services

Investment Types

Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Real Estate, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Phone, Our Office, Email, Your Home, Your Office, Video Conference

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFA^®

Securities Licenses

Series 65

Financial Organization Memberships

CFA Institute

Non-Financial Organization Memberships

Kansas & Western Missouri Salvation Army Advisory Board

Firm Information

Firm's Number of Clients

Firm's Number of Managed Clients

Assets Managed by Firm

90000000+

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

<10

Assets Managed by Advisor

78000000+

Compensation and Fees

Fee Structure

Fee-Only

Minimum Portfolio Size for New Managed Accounts

$100,000

Compensation Methods

Hourly

Fee % Based on Assets

Hourly Rate

$150

Flat Fee Rate

N/A

Additional Details on Charges

Assets under management start at 1% and taper down based on overall asset level.

Minimum Fee Charged for Managed Accounts

N/A

Minimum Fee Charged for Hourly Planning Accounts

$500

Minimum Fee Charged for Flat Fee Accounts

N/A

Education

BA - Business Administration and Religious Studies

Southwest Baptist University
9/78 - 5/82

Disclosures

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