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TF

Thomas R. Fox

DAWSON JAMES SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 1564765
TF

Professional summary

Thomas Richard Fox is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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

August 16, 2012 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432
BD
CRD#: 130645
Boca Raton, FL
Past

November 14, 2011 - September 21, 2012

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
BOCA RATON, FL
Past

May 23, 2007 - February 11, 2010

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

January 31, 2005 - June 20, 2007

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

November 8, 2000 - February 2, 2005

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

August 4, 1998 - December 8, 2000

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

April 19, 1996 - June 18, 1998

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

July 10, 1992 - April 24, 1996

EURO-ATLANTIC SECURITIES INC.

BD
CRD#: 21367
BOCA RATON, FL
Past

February 24, 1987 - July 28, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/8/2012)
RR
Connecticut
(3/25/2013)
RR
Florida
(8/24/2012)
RR
Kansas
(8/16/2012)
RR
Minnesota
(10/5/2012)
RR
Nevada
(6/4/2015)
RR
New Jersey
(9/4/2012)
RR
New York
(8/27/2012)
RR
North Carolina
(3/25/2013)
RR
Ohio
(7/28/2016)
RR
Pennsylvania
(1/28/2019)
RR
Texas
(3/27/2013)
RR
Washington
(3/22/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 3/9/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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.

Company Information

DAWSON JAMES SECURITIES, INC.

CRD#: 130645Boca Raton, FL 33432

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