Randy C. 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.
Randy Cleve Fox, who also goes by Randy Fox, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1996. Randy had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - April 17, 2024
GT INVESTMENT MANAGEMENT, LLC
January 30, 2023 - April 17, 2024
GT SECURITIES, INC.
February 26, 2020 - December 31, 2022
PORTSMOUTH FINANCIAL SERVICES
August 2, 2018 - November 21, 2018
CHARLES SCHWAB & CO., INC.
April 3, 2007 - July 6, 2018
ATEL SECURITIES CORPORATION
November 9, 2006 - March 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
March 16, 2005 - September 27, 2006
CITICORP INVESTMENT SERVICES
March 16, 2005 - September 27, 2006
CITICORP INVESTMENT SERVICES
August 23, 2004 - March 8, 2005
WAMU INVESTMENTS, INC.
August 23, 2004 - March 8, 2005
WAMU INVESTMENTS, INC.
February 12, 2004 - August 10, 2004
CITICORP INVESTMENT SERVICES
February 11, 2003 - August 10, 2004
CITICORP INVESTMENT SERVICES
February 6, 2002 - February 13, 2003
WAMU INVESTMENTS, INC.
June 5, 2001 - September 20, 2001
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 29, 1996 - April 9, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GT INVESTMENT MANAGEMENT, LLC
CRD#: 325619 / SEC#: 801-134784
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 5,500,000 |
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.
