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DF

Drew D. Fox

Some features on this profile are disabled
CRD#: 2722571
DF

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.

Drew Dickinson Fox, who also goes by Drew Fox, was a registered financial professional .

Drew is a previously registered financial professional and started their career in finance in 1997. Drew had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Drew 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.

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®
None

Experience

Past

June 30, 2020 - June 7, 2022

HAMILTON LANE SECURITIES LLC

BD
CRD#: 281510
CONSHOHOCKEN, PA
Past

June 12, 2012 - June 2, 2020

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

February 9, 2012 - June 2, 2020

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

April 13, 2004 - June 30, 2010

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
RADNOR, PA
Past

June 4, 2002 - April 2, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
RADNOR, PA
Past

January 2, 2002 - April 2, 2003

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

November 30, 2000 - January 23, 2001

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

July 8, 1999 - December 6, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 26, 1998 - June 7, 1999

BENFIELD ADVISORY INC.

BD
CRD#: 42108
NEW YORK, NY
Past

July 22, 1997 - February 14, 1998

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

March 11, 1997 - June 26, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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: 6/11/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1997
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 31
Date: 8/27/2013
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/1/1996
National Commodity Futures Examination

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

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

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# 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#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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

HAMILTON LANE SECURITIES LLC

CRD#: 281510

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