Richard T. Fox

CETERA INVESTMENT ADVISERS LLC

Wooster, OH 44691

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CRD#: 2573549

Professional summary

Richard Thomas Fox, AIF®, who also goes by Richard T Fox, Rick Fox, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wooster, Ohio and CETERA INVESTMENT SERVICES LLC located in Wooster, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard T Fox | Rick Fox

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. BOARD OF DIRECTORS FOR WOOSTER CITIZENS POLICE ACADEMY ALUMNI ASSOCIATION, LESS THAN 1/HR/WK;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Thomas 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 2, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4192 Burbank Road, Wooster, OH 44691

RIA

CRD#: 105644

Wooster, OH

Current

September 2, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4192 Burbank Road, Wooster, OH 44691

CRD#: 15340

Wooster, OH

Past

September 18, 2013 - August 25, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

ASHLAND, OH

Past

September 18, 2013 - August 25, 2015

LPL FINANCIAL LLC

CRD#: 6413

ASHLAND, OH

Past

January 20, 2010 - September 18, 2013

FIRSTMERIT ADVISORS, INC.

RIA

CRD#: 125249

WOOSTER, OH

Past

January 14, 2010 - September 18, 2013

FIRSTMERIT FINANCIAL SERVICES, INC

CRD#: 149680

WOOSTER, OH

Past

July 7, 2005 - January 22, 2010

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

LOUISVILLE, OH

Past

July 1, 2005 - January 14, 2010

INVEST FINANCIAL CORPORATION

CRD#: 12984

LOUISVILLE, OH

Past

June 24, 2003 - December 20, 2005

FIRSTMERIT ADVISORS, INC.

RIA

CRD#: 125249

AKRON, OH

Past

March 16, 1999 - July 1, 2005

FIRSTMERIT SECURITIES, INC.

CRD#: 35057

AKRON, OH

Past

July 1, 1997 - March 17, 1999

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

September 5, 1996 - July 11, 1997

DENMARK INVESTMENT SERVICES, INC.

CRD#: 2778

BEACHWOOD, OH

Past

April 22, 1996 - September 13, 1996

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

February 8, 1995 - February 5, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Arizona
(3/21/2023)

California
(11/3/2016)

Connecticut
(8/17/2023)

Delaware
(1/10/2019)

Florida
(9/2/2015)

Georgia
(6/11/2025)

Illinois
(11/4/2021)

Michigan
(2/7/2018)

Missouri
(12/15/2022)

Montana
(11/4/2021)

Ohio
(9/2/2015)

IAR

Ohio
(9/2/2015)

Virginia
(3/23/2022)

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

IAR

Series 65

Date: 3/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/1995

General Securities 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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Firm Stability Insights

Richard T. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRSTMERIT ADVISORS, INC.

FIRSTMERIT FINANCIAL SERVICES, INC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

FIRSTMERIT ADVISORS, INC.

FIRSTMERIT SECURITIES, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

DENMARK INVESTMENT SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/1995

Series 63

Date: 2/16/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/7/1995

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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