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ALAN DOUGLAS COX
CRD#: 5602588
IA
Investment Adviser
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Previous Broker
HILLSPRING FINANCIAL, INC.CRD#: 113938 12213 W Bell Rd
Ste 209
Surprise, AZ 85378
Registration History
2008201020122014201620182020202220242026IAHILLSPRING FINANCIAL, INC. (CRD# 113938)2021 - Present (3 years)BTAYLOR CAPITAL MANAGEMENT INC. (CRD# 43559)2012 - 2019 (6 years)BAXA ADVISORS, LLC (CRD# 6627)2008 - 2012 (3 years)IANORTHPOINTE FINANCIAL, LLC (CRD# 165118)2012 - 2023 (11 years)IAAXA ADVISORS, LLC (CRD# 6627)2009 - 2012 (3 years)
License(s)

State Registrations

IA
Arizona 10/12/2021

IA
Texas 8/23/2021

Current Registration(s)
IA
HILLSPRING FINANCIAL, INC. (CRD#:113938)
12213 W Bell Rd Ste 209, Surprise, AZ 85378
Registered with this firm since 8/20/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/12/2012 - 12/05/2023 NORTHPOINTE FINANCIAL, LLC (CRD#:165118) SURPRISE, AZ
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09/04/2012 - 08/15/2019 TAYLOR CAPITAL MANAGEMENT INC. (CRD#:43559) Surprise, AZ
IA
01/23/2009 - 09/06/2012 AXA ADVISORS, LLC (CRD#:6627) SCOTTSDALE, AZ
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11/10/2008 - 09/06/2012 AXA ADVISORS, LLC (CRD#:6627) SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.