Michael A. 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.
Michael Andrew Fox, who also goes by Michael Andrew Fox, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2013 - January 29, 2013
REALTA EQUITIES, INC.
December 15, 2010 - January 31, 2011
QUASAR DISTRIBUTORS, LLC
November 12, 2010 - January 28, 2011
WBI INVESTMENTS, LLC
June 28, 2007 - July 30, 2010
TOUCHSTONE ADVISORS INC
June 26, 2007 - July 28, 2010
TOUCHSTONE SECURITIES, INC.
March 17, 2006 - July 7, 2007
CITIGROUP GLOBAL MARKETS INC.
February 8, 2000 - December 9, 2005
ING INVESTMENT MANAGEMENT SERVICES LLC
July 16, 1998 - February 8, 2000
ABN AMRO SECURITIES 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
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
