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Steven Cox, CFA

Providence Financial Advisors, LLC

6900 College Blvd. Suite 440

Overland Park, KS 66211
(913) 3230535

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.

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

25+

Number of Years with Current Firm

17

I work with the following types of clients

Individual Investors, Non-Profit Organizations, Businesses

Services

Investment Types

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

I can meet clients in the following ways

Via email, At your home, At my office, At your office, Via phone

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

No

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Chartered Financial Analyst (CFA)

Financial Organization Memberships

Paladin Registry, CFA Institute

Non-Financial Organization Memberships

Kansas & Western Missouri Salvation Army Advisory Board

Firm Information

Firm's Number of Clients

90

Firm's Number of Managed Clients

90

Assets Managed by Firm

90000000+

Advisor's Number of Clients

50

Advisor's Number of Managed Clients

50

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

Based on Assets

Fee % Based on Assets

1%

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