Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Alan Fox is a financial advisor with over 30 years of experience in the financial services industry. Thomas is currently registered with Charles Schwab & Co., Inc. in Lone Tree, CO. Prior to his current role, Thomas has held positions with TD Ameritrade, Inc., Fidelity Brokerage Services LLC, and Fidelity Brokerage Services, Inc. Thomas holds several professional licenses and designations, including the Series 63, Series 10, Series 9, Series 14, Series 24, Series 8, Series 7, and the SIE. Thomas has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
04/28/2020 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
NE
05/14/2013 - 04/21/2020
TD AMERITRADE, INC. (OMAHA NE)
TX
09/25/1998 - 08/07/2012
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
RI
03/15/1990 - 05/30/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
01/23/1990 - 02/05/1990
J. W. GANT & ASSOCIATES, INC.
BC
Issued 06/14/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/19/2002
Series 14 - Compliance Officer Examination
BC
Issued 11/26/2001
Series 24 - General Securities Principal Examination
BC
Issued 06/24/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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