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Christopher Cox

LPL Financial LLC
28 Years of Experience
Rockville, MD
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Christopher Cox is a registered investment advisor at LPL Financial LLC, based in Rockville, MD, with 28 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2600 Tower Oaks Blvd #220, Rockville, MD, 20852-4218

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Closed-No Action
Customer Dispute
March 2001
Settled
Customer Dispute
May 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Christopher has several business activities, including serving as owner of Cage, LLC, Maryland Financial Group, Kokyuho DBA Washington Karate Academy, and DBAs for LPL business. He also sells non-variable insurance products, including fixed annuities, disability insurance (DI), and long-term care insurance (LTC).

Employment History
Current Registrations
LPL Financial LLC
April 2025 - Present · 1 yr 6 mos
LPL Financial LLCBroker
March 2014 - Present · 12 yrs 7 mos
Previous Registrations
Maryland Financial Group, INC.
December 2006 - July 2025 · 18 yrs 7 mos
Fsc Securities CorporationBroker
April 2004 - April 2014 · 10 yrs
Multi-Financial Securities CorporationBroker
January 2004 - May 2004 · 4 mos
Financial Concepts Unlimited, INC.
July 2003 - February 2007 · 3 yrs 7 mos
Ifg Network Securities, INC.Broker
May 2003 - January 2004 · 8 mos
Citicorp Investment Services
May 2001 - April 2003 · 1 yr 11 mos
Citicorp Investment ServicesBroker
September 1999 - April 2003 · 3 yrs 7 mos
Dean Witter Reynolds INC.Broker
January 1998 - September 1999 · 1 yr 8 mos
Josephthal & CO., INC.Broker
January 1998 - January 1999 · 1 yr
State Registrations40 states
ALARAZCACOCTDCDEFLGAHIILINKYLAMAMDMEMIMNMOMSMTNCNDNHNJNMNVNYOHORPASCSDTNTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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