Austin H. Fox

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CRD#: 3053879

Professional summary

Austin Havird Fox was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Austin is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Austin had worked at 8 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, CORECAP ADVISORS, CORECAP INVESTMENTS LLC, EQUITABLE ADVISORS LLC, 1ST GLOBAL ADVISORS INC, 1ST GLOBAL CAPITAL CORP., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.

Question & Answer

Are you a "fiduciary"?

Aliases

Austin H 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

March 3, 2016 - May 5, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MARTINEZ, GA

Past

March 3, 2016 - May 5, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ACWORTH, GA

Past

March 30, 2015 - March 29, 2016

CORECAP ADVISORS

RIA

CRD#: 158819

BYLTHEWOOD, SC

Past

March 27, 2015 - March 29, 2016

CORECAP INVESTMENTS, LLC

CRD#: 37068

SOUTHFIELD, MI

Past

July 15, 2008 - March 4, 2015

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBIA, SC

Past

June 24, 2008 - March 4, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBIA, SC

Past

August 9, 2006 - July 3, 2008

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

COLUMBIA, SC

Past

July 12, 2004 - July 3, 2008

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

COLUMBIA, SC

Past

November 6, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 6, 1998 - July 7, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/1/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/17/1998

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: 9/29/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2008

General Securities Principal Examination

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

Austin H. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CORECAP ADVISORS

CORECAP INVESTMENTS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2006

Series 63

Date: 7/17/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2005

Series 6

Date: 11/5/1998

Series 24

Date: 3/7/2008

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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