SF
Samuel D. Fox
U.S. BANCORP ADVISORS
Crestwood, MO 63126
Some features on this profile are disabled
CRD#: 2637991
SF
Professional summary
Samuel D'arcy Cox Fox, who also goes by Sam D'arcy Cox Fox, Sam D.c. Fox, Sam Fox, Samuel Fox, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Crestwood, Missouri.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Samuel has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam D'arcy Cox Fox | Sam D.c. Fox | Sam Fox | Samuel 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel D'arcy Cox Fox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel D'arcy Cox Fox's 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®
NoneExperience
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 9819 Watson Rd, Crestwood, MO 63126Office #2: 1543 Jeffco Blvd, Arnold, MO 63010RIA
BD
CRD#: 14455
Crestwood, MO
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 9819 Watson Rd, Crestwood, MO 63126Office #2: 1543 Jeffco Blvd, Arnold, MO 63010RIA
BD
CRD#: 14455
Crestwood, MO
Past
July 24, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Arnold, MO
Past
July 24, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Arnold, MO
Past
January 9, 2019 - June 30, 2023
GENEX CONSULTING
RIA
CRD#: 145772
Kirkwood, MO
Past
January 12, 2018 - June 30, 2023
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Kirkwood, MO
Past
December 7, 2016 - December 31, 2018
GENEX CONSULTING
RIA
CRD#: 145772
TOWN & COUNTRY, MO
Past
August 3, 2016 - July 14, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
TOWN & COUNTRY, MO
Past
August 3, 2016 - January 23, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
TOWN & COUNTRY, MO
Past
September 20, 2012 - November 15, 2016
PRIVATE LABEL MONEY MANAGEMENT, INC.
RIA
CRD#: 154952
Kirkwood, MO
Past
June 23, 2011 - March 19, 2012
OAKBRIDGE FINANCIAL SERVICES
RIA
CRD#: 16323
ST. LOUIS, MO
Past
June 22, 2011 - August 3, 2016
OAKBRIDGE FINANCIAL SERVICES
BD
CRD#: 16323
ST. LOUIS, MO
Past
January 5, 2009 - June 21, 2011
UHLMANN PRICE SECURITIES, LLC
BD
CRD#: 42854
SKOKIE, IL
Past
September 11, 2006 - December 8, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
FRONTENAC, MO
Past
July 13, 2006 - December 8, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
FRONTENAC, MO
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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
California(2/13/2026)
RR
Illinois(2/13/2026)
RR
Missouri(2/13/2026)
IAR
Missouri(2/13/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
