DF
Dean E. Fox
CETERA INVESTMENT ADVISERS LLC
TRAPPE, PA 19426
Some features on this profile are disabled
CRD#: 5437143
DF
Professional summary
Dean E Fox, ChFC®, who also goes by Dean Edwin Fox, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Trappe, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Trappe, Pennsylvania.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dean has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dean Edwin 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. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 55 SUNNYBROOK RD; SANATOGA; PA; 19464; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/24/2017; 160; 160; SALE OF FIXED INSURANCE PRODUCTS 2. NAME OF ENTITY:FOX REALTY; No; 70 LINREE AVE; READING; PA; 19606; RENTAL PROPERTY; OWNER/PRESIDENT; 6/1/2015; 2; 0; MAINTAIN PROPERTY,COLLECT RENT,PAY BILLS 3. NAME OF ENTITY:FRANK FOX SCHOLARSHIP; No; 925 TED'S COURT; BIRDSBORO; PA; 19508; NON-PROFIT ORGANIZATION; FOUNDER/PRESIDENT; 6/1/2012; 2; 0; ORGANIZE EVENT, SOLICIT SPONSORSHIP/RUNNERS AND PRESENT SCHOLARSHIP 4. NAME OF ENTITY:Pope John Paul II High School; No; 181 Rittenhouse Road; Royersford; PA; 19468; Non-Profit Organization; Board Member; 10/15/2020; 4; 2; Attend board meetings and give input to the rest of the board. 5. NAME OF ENTITY:Flagship Financial, LLC; Yes; 55 Sunnybrook Road; Sanatoga; PA; 19464; Financial Services/dba; President & Owner; 3/11/2021; 250; 150; Sale and Service Insurance, Securities and Investment Products|
CRS (Client Relationship Summary) - RIA
Click below to view Dean E 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 740 W Main St, Trappe, PA 19426Office #2: 55 Sunnybrook Road, Sanatoga, PA 19464RIA
CRD#: 105644
TRAPPE, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 740 W Main St, Trappe, PA 19426Office #2: 55 Sunnybrook Road, Sanatoga, PA 19464BD
CRD#: 13572
Trappe, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 30, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TRAPPE, PA
Past
May 24, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TRAPPE, PA
Past
February 28, 2014 - June 7, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
POTTSTOWN, PA
Past
February 7, 2014 - June 7, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
POTTSTOWN, PA
Past
September 3, 2009 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TRAPPE, PA
Past
August 31, 2009 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TRAPPE, PA
Past
December 8, 2008 - February 12, 2009
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
BD
CRD#: 38357
MINNEAPOLIS, MN
Past
November 28, 2007 - February 12, 2009
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
RIA
CRD#: 38357
BLUE BELL, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(6/9/2021)
RR
Arizona(1/2/2025)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Michigan(6/9/2021)
RR
Minnesota(12/8/2021)
RR
New Jersey(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
RR
Wisconsin(6/9/2021)
RR
Wyoming(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
