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CF

Chad Fox

BRINKER CAPITAL SECURITIES
Berwyn, PA 19312
Some features on this profile are disabled
CRD#: 7064828
CF

Professional summary

Chad Fox is a registered financial professional currently at BRINKER CAPITAL SECURITIES, LLC located in Berwyn, Pennsylvania.

Chad is registered as a RR (Registered Representative) and started their career in finance in 2019. Chad has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chad 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®
None

Experience

Current

January 24, 2022 - Present

BRINKER CAPITAL SECURITIES, LLC

Office #1: 1055 Westlakes Drive Suite 250, Berwyn, PA 19312
BD
CRD#: 38123
Berwyn, PA
Past

May 28, 2019 - November 18, 2021

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA

State Registrations and Notice Filings

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

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
Pennsylvania
(1/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/28/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/22/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BRINKER CAPITAL SECURITIES, LLC
BRINKER CAPITAL SECURITIES, INC. | BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123 / SEC#: , 8-48110

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1055 Westlakes Drive Suite 250, Berwyn, PA 19312
Mailing Address
1055 Westlakes Drive Suite 250, Berwyn, PA 19312
Phone number
(800) 333-4573
Established
Delaware since 09/23/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BRINKER CAPITAL HOLDINGS, LLC.HOLDING COMPANY
AUDRAIN, MARK ANDREWPRESIDENT/CEO, CCO, AND PRINCIPAL OPERATIONS OFFICER7046010
PETERS, REID THOMASPRINCIPAL FINANCIAL OFFICER & FINOP5008608

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123Berwyn, PA 19312

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