James C. Fox

JAMES FOX SECURITIES

Carlsbad, CA 92008

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CRD#: 502708

Professional summary

James Cephus Harding Fox, who also goes by James C Fox, Jim Fox, is a registered financial professional currently at JAMES FOX SECURITIES, INC. located in Carlsbad, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1979. James has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James C Fox | Jim 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.

JAMES FOX SECURITIES, INC. BROKER DEALER OWNER PRESIDENT KITSUNE ADVISORS, LLC INVESTMENT ADVISOR (REGISTERED STATE OF MISSOURI) CIO, 2 HOURS PER MONTH. ARKILMO LAND TRUST, PRIVATE LAND TRUST, CURRENTLY SERVING AS PRESIDENT AND ADVISER TO TRUST. 2 TO 5 HOURS PER YEAR. A LICENSED REAL ESTATE BROKER IN CALIFORNIA (SINCE 1995) AND NEW MEXICO. 5 HOURS PER WEEK, PRIMARILY (WEEKENDS).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Cephus Harding 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

January 20, 1998 - Present

JAMES FOX SECURITIES, INC.

Office #1: 2244 Faraday Avenue, Carlsbad, CA 92008

CRD#: 43632

Carlsbad, CA

Past

July 8, 2015 - September 20, 2024

KITSUNE ADVISORS

RIA

CRD#: 175125

RICHMOND HEIGHTS, MO

Past

July 6, 1987 - March 17, 1998

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

SCOTTSDALE, AZ

Past

June 29, 1985 - July 20, 1987

MASON, HUNT & CO., INC.

CRD#: 13680

Past

January 27, 1983 - July 12, 1985

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

September 19, 1980 - February 9, 1983

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 8, 1979 - September 22, 1980

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

State Registrations and Notice Filings

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

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

JAMES FOX SECURITIES, INC.

CRD#: 43632 / SEC#: , 8-50391

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2244 Faraday Avenue, Carlsbad, CA 92008

Mailing Address

2244 Faraday Avenue , # 94, Carlsbad, CA 92008

Phone number

(760) 908-6716

Established

Arizona since 10/21/1996

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FOX, JAMES CEPHUS HARDING	CHIEF COMPLIANCE OFFICER	502708
FOX, JAMES CEPHUS HARDING	PRESIDENT	502708

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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James C. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Cephus Harding Fox's CRS (Customer Relationship Summary).

Certified licenses

Experience

KITSUNE ADVISORS

FOX & COMPANY INVESTMENTS INC.

MASON, HUNT & CO., INC.

KIDDER, PEABODY & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2008

Series 63

Date: 10/28/1983

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 1/2/2009

Series 5

Date: 12/12/1981

Series 7

Date: 1/20/1979

Series 14

Date: 1/2/2023

Series 27

Date: 7/16/1993

Series 53

Date: 11/27/1992

Series 4

Date: 3/4/1987

Series 24

Date: 5/5/1986

FINRA

Current Firm

JAMES FOX SECURITIES, INC.

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JAMES FOX SECURITIES, INC.

TRUST BUT VERIFY

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