Thomas G. Fox

WATERSTREET ASSET MANAGEMENT LLC

St. Louis Park, MN 55416

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CRD#: 1337778

Professional summary

Thomas Guy Fox, who also goes by Thomas Zwingman Fox, Thomas Guy Zwingman, is a registered financial advisor currently at WATERSTREET ASSET MANAGEMENT LLC located in St. Louis Park, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Zwingman Fox | Thomas Guy Zwingman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) WATERSTREET ASSET MANAGEMENT POSITION: Owner NATURE: Independent Registered Investment Adviser ("I-RIA") INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2015 ADDRESS: 6301 Wayzata Blvd, St. Louis Park MN 55416, United States DESCRIPTION: For use in name only; no assets under management, no clients, no fees collected 2) HOPE OF GLORY MINISTRIES POSITION: Director NATURE: Non-Profit Organization INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 03/19/1997 ADDRESS: 16285 Scenic Heights, Road, Eden Prairie MN 55344, United States DESCRIPTION: Ministry is used for my preaching and teaching of the bibleonly. 3) CAPITAL CONSULTING GROUP, INC. POSITION: Officer NATURE: Doing Business As ("DBA") INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 08/01/2021 ADDRESS: 6640 Shady Oak Road, Suite 200, Eden Prairie MN 55344, United States DESCRIPTION: DBA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Guy Fox's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 31, 2020 - Present

WATERSTREET ASSET MANAGEMENT LLC

Office #1: 6301 Wayzata Blvd., St. Louis Park, MN 55416

RIA

CRD#: 281332

St. Louis Park, MN

Past

March 27, 2019 - July 16, 2025

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

EDEN PRAIRIE, MN

Past

September 8, 2017 - December 31, 2020

WATERSTREET ASSET MANAGEMENT LLC

RIA

CRD#: 281332

ST. LOUIS PARK, MN

Past

July 13, 2017 - October 20, 2017

HAYDEN ROYAL

RIA

CRD#: 170037

Minnetonka, MN

Past

January 21, 1991 - April 30, 1992

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

April 11, 1988 - February 4, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 23, 1985 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(12/31/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Current Firm

WATERSTREET ASSET MANAGEMENT LLC

CRD#: 281332 / SEC#:

Minnesota

Registered Investment Advisory firm - (12/31/2020 Approved)

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Contact information

Main Address

6301 Wayzata Blvd., St. Louis Park, MN 55416

Mailing Address

Phone number

(612) 804-2264

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas G. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Guy Fox's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATERSTREET ASSET MANAGEMENT LLC

NEXT FINANCIAL GROUP, INC.

WATERSTREET ASSET MANAGEMENT LLC

HAYDEN ROYAL

DAIN RAUSCHER INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2015

Series 63

Date: 2/15/1985

Series 7

Date: 1/19/1985

Current Firm

WATERSTREET ASSET MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

WATERSTREET ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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