JF
James M. Fox
FINANCIAL & TAX ARCHITECTS
Chicago, IL 60523
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CRD#: 5712817
JF
Professional summary
James M Fox, who also goes by James Fox, James Michael Fox, is a registered financial advisor currently at FINANCIAL & TAX ARCHITECTS, LLC located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. James has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Fox | James 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.
CRS (Client Relationship Summary) - RIA
Click below to view James M 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®
NoneExperience
Current
August 14, 2025 - Present
FINANCIAL & TAX ARCHITECTS, LLC
Office #1: 1415 West 22nd Street, Regency Towers, Chicago, IL 60523RIA
CRD#: 119169
Chicago, IL
Past
November 14, 2024 - July 11, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
DOWNERS GROVE, IL
Past
November 14, 2024 - July 11, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
DOWNERS GROVE, IL
Past
April 30, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
April 30, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
September 5, 2023 - April 18, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Chicago, IL
Past
March 16, 2023 - April 18, 2024
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
Past
June 22, 2022 - September 5, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
CHICAGO, IL
Past
June 22, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHICAGO, IL
Past
February 22, 2021 - May 2, 2022
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
WHEATON, IL
Past
February 22, 2021 - May 2, 2022
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
WHEATON, IL
Past
February 13, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Schaumburg, IL
Past
February 13, 2019 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
SCHAUMBURG, IL
Past
February 13, 2019 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
SCHAUMBURG, IL
Past
June 12, 2017 - February 21, 2019
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ELK GROVE VILLAGE, IL
Past
June 12, 2017 - February 21, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ELK GROVE VILLAGE, IL
Past
June 20, 2016 - June 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCHAUMBURG, IL
Past
May 20, 2016 - June 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCHAUMBURG, IL
Past
March 5, 2015 - May 23, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
SKOKIE, IL
Past
October 1, 2012 - January 23, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
October 1, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GLENVIEW, IL
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".
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RYU FINANCIAL, INC | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Illinois(8/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
F&
FINANCIAL & TAX ARCHITECTS, LLC
ADVANCED WEALTH MANAGEMENT | THE MASTERS CHOICE, INC. | SCOUT FINANCIAL GROUP | RYU FINANCIAL, INC | RETIREMENT INCOME BLUEPRINTS | PROFESSIONAL GROUP | NEW DAY FINANCIAL | NEST FINANCIAL ADVISORS | NATIONAL RETIREMENT CONSULTING | MIA SULAK | LFG FINANCIAL | KNOXVILLE RETIREMENT PLANNERS | JDR BASTION FINANCIAL GROUP | FTA WEALTH ADVISORS | FINANCIAL & TAX ARCHITECTS, LLC | FINANCIAL & TAX ARCHITECTS, INC. | FINANCIAL & TAX ARCHITECTS | CORE FINANCIAL MANAGEMENT | BROOKS, DAVID SCOTT
CRD#: 119169 / SEC#: 801-114688
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Arizona
Registered Investment Advisory firm - (3/6/2019 Terminated)California
Registered Investment Advisory firm - (3/18/2019 Terminated)Florida
Registered Investment Advisory firm - (3/6/2019 Terminated)Georgia
Registered Investment Advisory firm - (12/3/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/12/2019 Terminated)Kentucky
Registered Investment Advisory firm - (3/7/2019 Terminated)Louisiana
Registered Investment Advisory firm - (3/8/2019 Terminated)Maryland
Registered Investment Advisory firm - (11/17/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (3/6/2019 Terminated)Michigan
Registered Investment Advisory firm - (3/7/2019 Terminated)Missouri
Registered Investment Advisory firm - (3/6/2019 Terminated)North Carolina
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (3/6/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (3/6/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2019 Terminated)Tennessee
Registered Investment Advisory firm - (3/7/2019 Terminated)Texas
Registered Investment Advisory firm - (3/6/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12412 Powerscourt Drive Suite 25, St. Louis, MO 63131
Mailing Address
Phone number
(314) 858-1122
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,736 |
| AUM (Assets Under Management) | $ 506,245,828 |
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.
