Michael E. Fox

CETERA INVESTMENT ADVISERS LLC

CINNAMINSON, NJ

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CRD#: 212280

Professional summary

Michael Edward Fox, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cinnaminson, New Jersey and CETERA ADVISORS LLC located in Cinnaminson, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Michael has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.NAME OF OTHER BUSINESS: FINANCIAL PLANNING WORKS, INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/1986, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2.FIXED INSURANCE PRODUCTS AGENT 3.FINANCIAL PLANNING WORKS INC, START 1986, 2499 LENOLA RD CINNAMINSON NJ, TAX PREP BOOK KEEPING, 2HR/WK 4 INTENTIONALLY DELETED 5.MICHAEL FOX AND ASSOCIATES INC, START 1982, 2499 LENOLA ROAD CINNZMINSON NJ, HOURS PER WEEK VARY, LIFE INSURANCE AND LONG TERM CARE, AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward 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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CINNAMINSON, NJ

Current

May 27, 1994 - Present

CETERA ADVISORS LLC

CRD#: 10299

Cinnaminson, NJ

Past

January 18, 2012 - December 31, 2016

FINANCIAL PLANNING WORK$, INC.

RIA

CRD#: 125778

CINNAMINSON, NJ

Past

April 26, 2005 - December 31, 2011

FINANCIAL PLANNING WORK$, INC.

RIA

CRD#: 125778

CIONNAMINSON, NJ

Past

July 10, 2003 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

November 19, 1989 - January 7, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 12, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 31, 1982 - July 12, 1983

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Past

June 21, 1973 - January 16, 1989

BCG SECURITIES, INC.

CRD#: 70

Past

November 2, 1970 - July 28, 1973

ZENITH AMERICAN SECURITIES CORPORATION

CRD#: 6438

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(8/29/2001)

Florida
(1/4/2012)

New Jersey
(6/7/1994)

IAR

New Jersey
(3/21/2024)

Pennsylvania
(5/27/1994)

South Carolina
(6/7/1994)

Texas
(9/25/1995)

IAR

Texas
(3/21/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/25/1965

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Michael E. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Fox's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FINANCIAL PLANNING WORK$, INC.

FINANCIAL PLANNING WORK$, INC.

CETERA ADVISORS LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

BCG SECURITIES, INC.

ZENITH AMERICAN SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/1986

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/25/1965

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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