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Robert Francis Fox

CRD# 1635033·Registered 1987 - 1997
Barred: Robert Francis Fox was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Robert Francis Fox, who also goes by Bob Fox, Robert F Fox, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1987 - 1997. Robert had worked at 14 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Fox, Robert F Fox

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

Past

ALDEN CAPITAL MARKETS, INC.Past·CRD# 25314
BD
New York, NY
May 29, 1997 - September 11, 1997
GLOBAL EQUITIES GROUP INCPast·CRD# 34039
BD
New York, NY
September 3, 1996 - January 29, 1997
MEYERS POLLOCK ROBBINS, INC.Past·CRD# 13436
BD
New York, NY
June 26, 1996 - August 23, 1996
A.S. GOLDMEN & CO., INC.Past·CRD# 23180
BD
Red Bank, NJ
January 21, 1994 - June 27, 1996
GKN SECURITIES CORP.Past·CRD# 19415
BD
New York, NY
February 11, 1992 - December 2, 1993
HANOVER, STERLING & COMPANY LTD.Past·CRD# 15491
BD
New York, NY
September 10, 1991 - February 6, 1992
D. H. BLAIR & CO., INC.Past·CRD# 6833
BD
New York, NY
May 24, 1990 - September 5, 1991
ALLEGIANCE SECURITIES, INC.Past·CRD# 16213
BD
December 22, 1988 - April 25, 1990
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
BD
Weehawken, NJ
December 14, 1989 - April 4, 1990
GRAYSON FINANCIAL LLCPast·CRD# 11764
BD
Red Bank, NJ
August 25, 1989 - September 13, 1989
ALLIED CAPITAL GROUP, INC.Past·CRD# 13146
BD
August 22, 1988 - January 21, 1989
J. W. GANT & ASSOCIATES, INC.Past·CRD# 7963
BD
August 4, 1988 - September 1, 1988
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.Past·CRD# 7404
BD
December 18, 1987 - February 23, 1988
F.D. ROBERTS SECURITIES, INC.Past·CRD# 693
BD
May 21, 1987 - September 16, 1987

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Current Firm

AC
ALDEN CAPITAL MARKETS, INC.

ALDEN CAPITAL FUNDING, INC. | ALDEN CAPITAL MARKETS, INC.

CRD#: 25314 / SEC#: 8-41638
BD
Cancelled by SEC on 06/29/1999

Contact Information

Established

Colorado since 07/20/1989

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1987About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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