Casey L. Fox

ERBEN ASSOCIATES

Austin, TX 78746

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CRD#: 5003167

Professional summary

Casey Lee Fox is a registered financial advisor currently at ERBEN ASSOCIATES, LLC located in Austin, Texas and M HOLDINGS SECURITIES, INC. located in Austin, Texas.

Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Casey has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Massachusetts Mutual Life Insurance Company, non-investment related, 317 Grace Lane, Ste 250, Austin, TX 78746, Insurance, 08/2022, 1 hour per month, 1 hour per month, sale of non-variable life insurance, disability, and annuities. 2) Erben Associates; 300 Beardsley Lane Suite D-200 Austin, TX 78746; Member Firm Affiliation; Investment Related; Director of Financial Planning; Create, implement and update financial plans; 08/01/2022; 160 hours per month; 160 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Lee 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

August 15, 2022 - Present

ERBEN ASSOCIATES, LLC

Office #1: 300 Beardsley Lane, Bldg. D Suite 200, Austin, TX 78746

RIA

CRD#: 148703

Austin, TX

Current

October 10, 2022 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 300 Beardsley Lane Suite D-200, Austin, TX 78746

RIA

CRD#: 43285

Austin, TX

Past

October 10, 2022 - October 2, 2023

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

PORTLAND, OR

Past

March 25, 2017 - August 8, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Austin, TX

Past

March 25, 2017 - August 8, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Austin, TX

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

AUSTIN, TX

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

AUSTIN, TX

Past

May 3, 2007 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

AUSTIN, TX

Past

April 12, 2006 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

AUSTIN, TX

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".

ERBEN ASSOCIATES, LLC

CRD#: 148703 / SEC#: 801-114578

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Georgia

Registered Investment Advisory firm - (3/6/2019 Terminated)

Puerto Rico

Registered Investment Advisory firm - (2/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Texas
(8/15/2022)

Texas
(10/10/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/25/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ERBEN ASSOCIATES, LLC

CRD#: 148703 / SEC#: 801-114578

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Georgia

Registered Investment Advisory firm - (3/6/2019 Terminated)

Puerto Rico

Registered Investment Advisory firm - (2/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2019 Terminated)

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Contact information

Main Address

300 Beardsley Lane, Bldg. D Suite 200, Austin, TX 78746

Mailing Address

Phone number

(512) 402-0250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A-FIRM BROCHURE (7/7/2025)

Regulatory assets under management

Total Number of Accounts	122
AUM (Assets Under Management)	$ 335,339,216

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

Casey L. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Lee Fox's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ERBEN ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2006

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2006

Series 4

Date: 10/25/2008

Series 24

Date: 12/28/2006

FINRA

Current Firm

ERBEN ASSOCIATES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ERBEN ASSOCIATES, LLC

TRUST BUT VERIFY

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