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ROBERT FLOYD FOX

ROBERT F. FOX

Some features on this profile are disabled
CRD#: 2079902
ROBERT FLOYD 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 FLOYD FOX, CFP®, ChFC®, CLU® was a registered financial professional .

ROBERT is a previously registered financial professional and started their career in finance in 1990. ROBERT had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Biography

As a financial advisor and confidant for more than 30 years, Robert Fox has strived to make his clients live happier lives. Rob’s perspective comes from decades of working with folks from all walks of life: doctors, lawyers, accountants, teachers, nurses, business owners, pre and post retirees, and more. Rob joined Wealth Enhancement Group in 2023 through the Legacy Financial Planning acquisition. Robert graduated from New York’s Stony Brook University. While working on Wall Street, he attained securities and insurance licensing, then attended The American College earning his CLU®, ChFC®, RHU®, REBC®, LUTCF® designations and then The College for Financial Planning where he received his CFP®. Rob was born and raised in Long Island and New York City. Rob and his wife Deanna, sons Daniel and Michael and Snacker, the golden wackadoodle, call Tampa home.
top-8-questions

Question & Answer

What are your service offerings?
Long-term Care
Estate Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Investment Planning
Insurance Planning
Retirement Planning
How do you get paid?
Commission and Fee
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.
1)1/2023 - WEALTH ENHANCEMENT GROUP- DBA for LPL Business (entity for LPL business)- inv. related- Lutz, FL 2) 3/21/2023 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 2/1/2023 - 120 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 03/2023. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

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

Certified Financial Planner

Start date: 2002

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Past

March 21, 2023 - January 3, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

February 1, 2023 - January 3, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
LUTZ, FL
Past

February 1, 2023 - February 15, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
LUTZ, FL
Past

June 11, 2009 - February 2, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Naples, FL
Past

November 26, 2002 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
Naples, FL
Past

November 5, 2002 - February 2, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Naples, FL
Past

October 22, 1999 - November 19, 2002

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

October 21, 1994 - October 1, 1999

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY
Past

February 3, 1993 - June 29, 1994

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

October 14, 1991 - February 3, 1993

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

August 3, 1990 - October 2, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

August 3, 1990 - October 2, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1991
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: 7/19/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/1/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/2012
General Securities Principal Examination

Current Firm

WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139 / SEC#: , 8-66305

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

Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WEALTH ENHANCEMENT GROUP, LLCOWNER
CAHN, JAMES LORENVICE PRESIDENT6052512
CAIN, STEPHANIE MHEAD OF SUPERVISION4081085
CLARK, LISA LYNNOPERATIONS OFFICER2271616
DEKKO, JEFFREY THOMAS HAROLDVICE PRESIDENT4648018
DIECKHAUS, JOSEPH ALANCHIEF COMPLIANCE OFFICER5374613
FURCHT, ELIZABETH ANNSECRETARY5778785
WINDORSKI, KELLY JOSEPHCHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL3211118

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

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Financial AdvisorCRD#: 130139

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