Robert K. Fox
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Kenney Fox, who also goes by Bob Fox, Robert K. Fox, Robert Fox, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - July 16, 2021
LPL FINANCIAL LLC
November 18, 2015 - July 16, 2021
LPL FINANCIAL LLC
April 5, 2012 - November 3, 2015
U.S. BANCORP ADVISORS, LLC
April 5, 2012 - November 3, 2015
U.S. BANCORP ADVISORS, LLC
October 28, 2008 - March 27, 2012
WEDBUSH SECURITIES INC.
October 28, 2008 - March 27, 2012
WEDBUSH SECURITIES INC.
January 27, 2004 - October 23, 2008
WELLS FARGO INVESTMENTS, LLC
January 27, 2004 - October 23, 2008
WELLS FARGO INVESTMENTS, LLC
July 8, 1997 - January 16, 2004
MORGAN STANLEY DW INC.
October 13, 1992 - January 16, 2004
MORGAN STANLEY DW INC.
May 30, 1992 - July 29, 1993
BA INVESTMENT SERVICES, INC.
June 7, 1990 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
May 4, 1989 - June 13, 1990
LEHMAN BROTHERS INC.
December 22, 1987 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
