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Shayne Lee Fox

CRD# 6484967·Registered 2016 - 2018
Previously Registered: Being a previously registered professional could mean that Shayne 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.

Professional Summary

Shayne Lee Fox was a registered financial advisor. Shayne was a previously registered financial professional and started their career in finance 2016 - 2018. Shayne had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

10 years in the financial services industry

Current & Past Employments

CRI SECURITIES, LLC·CRD# 22589
RIA
Phoenix, AZ
December 8, 2016 - January 26, 2018
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
Phoenix, AZ
February 8, 2016 - January 26, 2018
CRI SECURITIES, LLC·CRD# 22589
BD
Phoenix, AZ
February 8, 2016 - January 26, 2018

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Current Firm

CS
CRI SECURITIES, LLC

C.R.I. SECURITIES, INC. | CRI SECURITIES, LLC | C.R.I. SECURITIES, LLC

CRD#: 22589 / SEC#: 801-62434, 8-39877
BD
Terminated by SEC on 01/14/2022

Contact Information

Main Address

400 Robert Street North, St.paul, MN 55101

Established

Minnesota since 12/01/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CARPENTER, KIMBERLY KAYSENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER4266541
FERGUSON, KRISTIN MARYVICE PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & FINOP6895121

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2016About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 2016About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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