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RF

Robert M. Fox

ALPINE SECURITIES
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 4420688
RF

Professional summary

Robert Michael Fox, who also goes by Mike Fox, R Michael Fox, is a registered financial professional currently at ALPINE SECURITIES CORPORATION located in Salt Lake City, Utah.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 31, Series 14 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Fox | R Michael 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) - BD

Click below to view Robert Michael Fox's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 28, 2021 - Present

ALPINE SECURITIES CORPORATION

Office #1: 39 Exchange Place, Salt Lake City, UT 84111
BD
CRD#: 14952
Salt Lake City, UT
Past

June 6, 2018 - August 21, 2020

ADVISORS PREFERRED LLC

RIA
CRD#: 157980
ROCKVILLE, MD
Past

August 22, 2016 - February 6, 2017

GRAIL SECURITIES, LLC

BD
CRD#: 136258
SAN FRANCISCO, CA
Past

November 30, 2015 - December 31, 2016

FOOTHILL SECURITIES, INC.

RIA
CRD#: 1027
Middletown, DE
Past

November 24, 2015 - December 31, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
Santa Clara, CA
Past

April 18, 2013 - August 21, 2020

ATCAP PARTNERS, LLC

RIA
CRD#: 158214
ROCKVILLE, MD
Past

February 8, 2012 - August 21, 2020

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

March 24, 2008 - October 7, 2011

WILMINGTON BROKERAGE SERVICES COMPANY

RIA
CRD#: 14942
WILMINGTON, DE
Past

March 20, 2008 - October 7, 2011

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE
Past

April 9, 2007 - February 26, 2008

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

July 19, 2001 - March 9, 2007

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(9/6/2021)
RR
Delaware
(8/11/2021)
RR
Utah
(7/29/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/18/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/20/2007
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/6/2001
Municipal Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ALPINE SECURITIES CORPORATION
ALPINE SECURITIES CORPORATION

CRD#: 14952 / SEC#: , 8-31464

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

Main Address
39 Exchange Place, Salt Lake City, UT 84111
Mailing Address
39 Exchange Place, Salt Lake City, UT 84111
Phone number
(801) 320-1334
Established
Utah since 01/11/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCA CLEARING LLCSOLE SHAREHOLDER
COSMAN, JAMES AARONFINOP7208854
FOX, ROBERT MICHAELCCO4420688
HURRY, JOHN JOSEPHCCO - INVESTMENT ADVISER2146449
MARATEA, RAYMOND JERRYCEO2538056
WALSH, JOSEPH PATRICKCOO1519958

Disclosures

Regulatory Event45
Civil Event2
Arbitration1

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

ALPINE SECURITIES CORPORATION

CRD#: 14952Salt Lake City, UT 84111

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