Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick S. Fox is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Frederick S. Fox has been in the financial industry since March 10, 1972. Frederick S. Fox has passed the Series 63, Series 65, Series 7TO, SIE, PC, and Series 1 exams. Frederick S. Fox is registered in 36 states, including Illinois, Texas, Arizona, California, and Colorado. Frederick S. Fox has previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., SHEARSON HAYDEN STONE INC., and SHEARSON, HAMMILL & CO., INCORPORATED. Frederick S. Fox specializes in providing financial advice to high-net-worth individuals, corporations, individuals, and other businesses. Frederick S. Fox is also a Registered Representative and Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
11/15/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTHBROOK IL)
NA
05/19/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
11/08/1974 - 08/09/1975
SHEARSON HAYDEN STONE INC.
NA
06/02/1970 - 11/08/1974
SHEARSON, HAMMILL & CO., INCORPORATED
BC
Issued 01/10/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 06/04/1969
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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