BF
Brian T. Fox
SCHWAB WEALTH ADVISORY
Lone Tree, CO 80124
Some features on this profile are disabled
CRD#: 3217939
BF
Professional summary
Brian Todd Fox, who also goes by Brian T Fox, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian T 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.
1) USSF(United States Soccer Federation) | Investment Related:No|I do not have a specific address as the location would be soccer fields across Colorado|Denver|CO|80120|United States|Sports/Physical Recreation|Soccer Referee|10/16/2023|Less than 20|0|As the referee. serve as final decision-making authority on all facts connected with playing the game of soccer and is the match official with the authority to start and stop play and impose disciplinary action against players and coaches during a match.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Todd 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
August 4, 2021 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124RIA
CRD#: 159035
Lone Tree, CO
Current
August 4, 2021 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124RIA
BD
CRD#: 5393
Lone Tree, CO
Past
April 16, 2021 - May 7, 2021
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
April 16, 2021 - May 7, 2021
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
July 6, 2007 - April 9, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
June 18, 2004 - November 3, 2006
TIAA-CREF TRUST COMPANY, FSB
RIA
CRD#: 108579
DENVER, CO
Past
June 18, 2004 - April 9, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
March 19, 2004 - May 19, 2004
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
COLORADO SPRINGS, CO
Past
June 13, 2003 - May 19, 2004
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
April 17, 2003 - May 7, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 29, 2003 - February 12, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 29, 2003 - February 12, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 6, 2000 - November 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 Approved)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
Alabama(8/6/2021)
RR
Alaska(8/6/2021)
RR
Arizona(8/6/2021)
RR
Arkansas(8/6/2021)
RR
California(8/4/2021)
RR
Colorado(8/4/2021)
IAR
Colorado(8/4/2021)
RR
Connecticut(8/6/2021)
RR
Delaware(8/6/2021)
RR
District of Columbia(8/6/2021)
RR
Florida(8/6/2021)
RR
Georgia(8/6/2021)
RR
Hawaii(8/6/2021)
RR
Idaho(8/6/2021)
RR
Illinois(8/6/2021)
RR
Indiana(8/6/2021)
RR
Iowa(8/6/2021)
RR
Kansas(8/6/2021)
RR
Kentucky(8/6/2021)
RR
Louisiana(8/6/2021)
RR
Maine(8/6/2021)
RR
Maryland(8/6/2021)
RR
Massachusetts(8/6/2021)
RR
Michigan(8/6/2021)
RR
Minnesota(8/6/2021)
RR
Mississippi(8/6/2021)
RR
Missouri(8/6/2021)
RR
Montana(8/6/2021)
RR
Nebraska(8/6/2021)
RR
Nevada(8/6/2021)
RR
New Hampshire(8/6/2021)
RR
New Jersey(8/6/2021)
RR
New Mexico(8/6/2021)
RR
New York(8/6/2021)
RR
North Carolina(8/6/2021)
RR
North Dakota(8/6/2021)
RR
Ohio(8/9/2021)
RR
Oklahoma(8/6/2021)
RR
Oregon(8/6/2021)
RR
Pennsylvania(8/6/2021)
RR
Puerto Rico(8/6/2021)
RR
Rhode Island(8/6/2021)
RR
South Carolina(8/6/2021)
RR
South Dakota(8/6/2021)
RR
Tennessee(8/6/2021)
RR
Texas(8/6/2021)
IAR
Texas(1/4/2022)
RR
Utah(8/6/2021)
RR
Vermont(8/6/2021)
RR
Virgin Islands(8/6/2021)
RR
Virginia(8/6/2021)
RR
Washington(8/6/2021)
RR
West Virginia(8/6/2021)
RR
Wisconsin(8/6/2021)
RR
Wyoming(8/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
