Ronald T. Fox
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald T. Fox, who also goes by Ronald Todd Fox, Todd Fox, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2007. Ronald had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2017 - November 21, 2017
FROST INVESTMENT SERVICES
April 4, 2011 - November 20, 2017
FROST BROKERAGE SERVICES, INC.
March 11, 2010 - March 30, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 25, 2008 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
December 21, 2007 - February 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
December 21, 2007 - February 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 2007 - February 21, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
